← Tributary

SHORENSTEIN INVESTMENT ADVISERS LLC

SAN FRANCISCO, CA · CRD 328584 · IAPD ↗ · 415-772-7000

$787.5MRegulatory AUM
33Advisory reps
33Employees
0Clients
n/aPlanning clients
3Private funds
2States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

38
April 2026 — SHORENSTEIN INVESTMENT ADVISERS LLC shrank from 44 to 33 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
53
August 2024 — SHORENSTEIN INVESTMENT ADVISERS LLC now reports custody of client assets ($125.4M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
58
August 2024 — SHORENSTEIN INVESTMENT ADVISERS LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
58
August 2024 — SHORENSTEIN INVESTMENT ADVISERS LLC now reports 3 private fund(s) ($753.1M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
April 2024 — SHORENSTEIN INVESTMENT ADVISERS LLC (SAN FRANCISCO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 47 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.