RIA Intelligence

SHUM FINANCIAL GROUP, INC.

CRD #285426 SEC #801-110554 ALAMEDA, CA 510-748-7462
SEC Registered
Total AUM
$287.1M
Discretionary
$287.1M
Employees
4
Clients
0
Accounts
977

Firm Details

Organization Type
Other (specify) (S CORP)
State of Formation
California
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Feb 12, 2025
Branch Offices
0

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
SANCHEZ, ELYSE, NICOLEISHAREHOLDERNA
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control
SHUM, CLIFF, WINGYINIPRESIDENT/CHIEF COMPLIANCE OFFICERE Control

Registrations

Federal

IA
Feb 12, 2025 REGISTERED

Notice Filings (4)

CA FL HI TX

Address

1402 PARK STREET, SUITE E
ALAMEDA, CA 94501
United States
Phone: 510-748-7462