Shearman, Ralston Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Shearman, Ralston Inc. is a small, registered investment adviser that provides portfolio management and investment advice to individuals — including high‑net‑worth clients — and trusts. The firm offers both discretionary and non‑discretionary management and advises on a broad range of instruments, including equities, ETFs, fixed income, REITs, warrants and options contracts.
The firm tailors strategies to each client's objectives using fundamental, technical and charting analysis and may pursue long‑ and short‑term trading, occasional frequent trading, and option‑related strategies (including option writing and short sales) as appropriate. Uncommonly for peers, a substantial majority of the firm’s assets are managed on a non‑discretionary basis, and the firm routinely requires clients to direct brokerage and custody to Apex Clearing Corporation.
Shearman, Ralston is also registered as a broker‑dealer and executes commission‑based and principal transactions (including mark‑ups/mark‑downs on bond trades and receipt of 12b‑1 fees), which creates potential conflicts between its advisory and brokerage activities. The combination of broker‑dealer activity, the explicit use of derivatives in separately managed accounts, and the predominance of non‑discretionary AUM distinguishes the firm from most similarly supported advisers and may affect trade execution and conflict considerations.
Client services
Expertise
Fee options
$0 - $250,000: 1.50% $250,000 - $500,000: 1.25% $500,000 - $2,000,000: 1.00% $2,000,000 - $30,000,000: 0.75% $30,000,000+: 0.50%
Commission-based compensation including 12b-1 fees on securities sales, separate from advisory fees.
Account minimum: No minimum stated; firm states generally no minimum dollar amount required but reserves right to terminate accounts deemed too small to manage effectively
Main office
333 Greenwich Avenue
Greenwich CT 06830
Advisors at this office
2
Most active in
Connecticut · Georgia · Louisiana · New York
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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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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.
Advisors at this firm
Nathaniel R
Series 63, Series 66
Greenwich, CT
Shearman, Ralston Inc.
Nathaniel Ralston is a financial advisor at Shearman, Ralston Inc. with 14 years of industry experience. He holds Series 63 and Series 66 designations and has been with Shearman, Ralston Inc. since 2012. Shearman, Ralston Inc. provides portfolio management and investment advice to individuals, including high-net-worth clients, and trusts. The firm employs a variety of strategies tailored to client objectives, using fundamental, technical, and charting analysis, with an emphasis on non-discretionary management and option-related strategies.
Daniel S
Series 65
Greenwich, CT
Shearman, Ralston Inc.
Daniel Sullivan is a Series 65-licensed financial advisor with 46 years of experience at Shearman, Ralston Inc. in Greenwich, CT, where he has worked since 1980. Shearman, Ralston Inc. is a small registered investment adviser serving individuals, including high-net-worth clients, and trusts. The firm offers tailored portfolio management using a mix of fundamental, technical, and charting analysis across various instruments, managing a substantial majority of assets on a non-discretionary basis.
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