Cornell Capital Group LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Cornell Capital Group provides ongoing portfolio management to high‑net‑worth individuals, delivering individualized Investment Policy Statements and discretionary portfolio oversight for a concentrated client base of 13 accounts with roughly $76 million in assets under management. Its services emphasize asset allocation, security selection, and regular portfolio monitoring, and the firm requires clients to custody assets through Schwab Institutional.
The firm’s investment approach blends fundamental analysis, quantitative models, and modern portfolio theory, with a primary focus on equities alongside allocations to fixed income and ETFs. Strategies expressly include long‑ and short‑term trading and the use of derivatives and leverage — options (including covered, uncovered and spreads), margin, and short sales — with documented risk tolerances and quarterly account reviews.
Cornell is notable among peers for employing derivatives and options trading inside separately managed accounts, a practice that is uncommon for supported firms, and for maintaining a very small, exclusively high‑net‑worth client roster that concentrates assets across few accounts. The firm also aggregates trades through block trading, does not use third‑party managers, and discloses receipt of custodial research and services from its Schwab relationship that may create soft‑dollar benefits.
Client services
Expertise
Fee options
0.50% annually
Main office
Encinitas CA, United States
Most active in
California
Disclosures
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Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Shaun C
CFA®, Series 65
Encinitas, CA
Cornell Capital Group LLC
Shaun Cornell is a CFA® charterholder and Series 65 licensed advisor with six years of industry experience. He is the principal at Cornell Capital Group LLC, where he has worked since 2019. Prior to this, he held roles at Compass Inc and SMBP. Outside of finance, Shaun is a self-employed musician and composer. Cornell Capital Group provides portfolio management services to a select group of high-net-worth individuals, focusing on customized Investment Policy Statements and discretionary oversight. The firm employs a blend of fundamental analysis, quantitative models, and modern portfolio theory, with an emphasis on equities and the use of derivatives and options within separately managed accounts.
Andrew C
Series 65
Encinitas, CA
Cornell Capital Group LLC
Andrew Cornell is a Series 65 licensed financial advisor with six years of industry experience. He has worked at Cornell Capital Group LLC since 2019 and previously spent 11 years at SMBP LLC. Cornell Capital Group LLC provides ongoing portfolio management services to high-net-worth individuals, focusing on asset allocation, security selection, and regular portfolio monitoring. The firm employs a blend of fundamental analysis, quantitative models, and modern portfolio theory, with a notable emphasis on derivatives and options trading within separately managed accounts.
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