SourcingSourcing

SHAPIRO FINANCIAL SECURITY GROUP, INC.

B56
CRD 120801·SEC 801-121063·HAZLET, NJ
AUM
$152.6M
$100M-$500M
Est. Revenue
$1.5M
@ 1% on AUM
Est. EBITDA
$458K
@ 30% margin
Est. Deal Value
$3.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SHAPIRO FINANCIAL SECURITY GROUP, INC.
CRD
120801
SEC file #
801-121063
EIN
—
DBA names
—

Economics

AUM
$152.6M
AUM band
$100M-$500M
AUM trajectory
'22'26
$112.6M → $152.6M▲ +36%
Client mix
Individuals Other137

Operations

Employees (total)
5
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'22'26
2 advisors → 2 advisors▬ 0%
Primary office
HAZLET NJ
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsEducational Seminars Workshops
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/24/2026
ADV-W filed at
—
Website
shapirofsg.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHAPIRO, KENNETH, BART
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SHAPIRO, KENNETH, BART
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SHAPIROFSG.COM
Rdap Domain Creation Date
2006-01-06T05:58:18Z
Rdap Firm Age Years
20
Rdap Firm Age Band
20+y
Rdap Registrar
Tucows Domains Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-01-06T05:58:18Z
Rdap Domain Last Changed
2025-10-13T17:27:25Z
Rdap Nameservers
Ns2.intermedia.netNs3.intermedia.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2048726
Trust Company Affiliate
No

People (3)

3
SHAPIRO, KENNETH, BART
IAR · Direct Owner · 87.5%
2048726
Devon Jacob Shapiro
IAR
7960088
Charles Andrew Calderwood
IAR
837702