Shift Fynancial
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$3,300,000
Clients
39
Advisors
1
of 1 employees
About
The firm provides retirement plan consulting, ongoing portfolio management, and integrated financial planning to individuals, employer-sponsored retirement plans, businesses, trusts, and estates. Retirement plan services include investment menu selection and monitoring, Investment Policy Statement development, vendor and recordkeeper evaluation, and the firm may serve as an ERISA Section 3(21) co‑fiduciary or a Section 3(38) investment manager when applicable.
Investment decisions are guided by a disciplined, long-term asset allocation and risk-management process that emphasizes strategic allocation, diversified portfolios (mutual funds, ETFs, and other securities), ongoing monitoring, and periodic rebalancing. Financial planning is integrated into the asset‑based advisory relationship rather than offered as a standalone engagement, and the firm provides both discretionary and non‑discretionary services with formal reviews at least annually.
The firm’s client mix and asset profile differ from many solo independent advisers: a substantial portion of reported assets are non‑discretionary, and the firm explicitly advises retirement plans and corporate clients, reflecting a more institutional orientation than is typical for one‑advisor firms. The firm’s principal is also licensed to sell insurance and is affiliated with an outside consulting business (devoting more than 15% of professional time), and the brochure highlights related conflict‑of‑interest disclosures such as insurance compensation and rollover incentives.
Client services
Expertise
Fee options
$0 - $1,000,000: 0.50% $1,000,000 - $2,000,000: 0.40% $2,000,000 - $4,000,000: 0.30% $4,000,000+: Negotiable
Main office
Jamestown NY
Advisors at this office
1
Most active in
New York
Also doing business as
Shift Fynancial · Shift Fynancial, Inc
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:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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
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