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Shareholder Financial Services, Inc. (Dallas)


Shareholder Financial Services, Inc. is a large advisory firm based in Dallas. It manages $3.2 billion of regulatory assets for 145 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Shareholder Financial Services provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Shareholder Financial Services: assets under management

The assets under management (AUM) of Shareholder Financial Services, Inc. is $3.2 billion, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.


The firm manages $3.2 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $22.05 million each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Shareholder Financial Services, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Massachusetts Mutual Life Insurance Company Shareholder 1 Oct 1990 75% - 100% 2682
Oppenheimer Acquisition Corporation Shareholder 1 Oct 1990 75% - 100% 84-1149206
Mass Mutual Holding Company Llc Shareholder 1 Jan 2012 75% - 100% 45-4000072

Based in Dallas

The principal office where Shareholder Financial Services, Inc. performs its advisory services is located at 2100 Mckinney Avenue, Suite 1401, Dallas, TX 75201, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-740-6040 or by fax 214-740-6041. The normal business hours are 8:30 a.m. to 5:00 p.m. on Monday - Friday.


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