← Tributary

NORTH SHIELD CAPITAL LLC

NEW YORK, NY · CRD 327189 · IAPD ↗ · 917-546-2079

$54.7MRegulatory AUM
4Advisory reps
4Employees
0Clients
0Planning clients
1Private funds
0States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

45
February 2025 — NORTH SHIELD CAPITAL LLC (NEW YORK, NY) left the SEC roster (was $54.7M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
80
October 2024 — NORTH SHIELD CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $54.7M RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand
45
June 2024 — NORTH SHIELD CAPITAL LLC (NEW YORK, NY) left the SEC roster (was $53.3M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
80
February 2024 — NORTH SHIELD CAPITAL LLC (NEW YORK, NY) is newly SEC-registered with $53.3M RAUM and 4 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.