Shapiro Capital Management Llc
- Regulatory AUM
- $2.0B
- Discretionary
- $2.0B
- Clients
- 393
- Avg AUM / client
- $5.0M
- Accounts
- 394
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of May 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 9 | $2.9M | 0.15% |
| High net worth individuals | 271 | $619M | 31.4% |
| Investment companies | 1 | $92.0M | 4.68% |
| Pension and profit sharing plans | 5 | $132M | 6.69% |
| Charitable organizations | 33 | $381M | 19.4% |
| State or municipal government entities | 4 | $285M | 14.5% |
| Corporations and other businesses | 70 | $456M | 23.2% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Oge Energy Corp. Retirement Plan Oge Energy Corp. | 2024 |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Shapiro, Louis, Steven | Shareholder | Feb 2006 (21y) | 25% – 50% of Shapiro Capital Management Company, Inc (indirect) | |
| Michael Alexander Mccarthy | Chief Investment Officer | CFA | Jun 2006 (20y) | 25% – 50% of Shapiro Capital Management Company, Inc (indirect) |
| Shapiro, Harry, Bernard | Portfolio Manager/Analyst/Director | Apr 2017 (9y) | 5% – 10% | |
| Harris, Rebecca, Lynn | Director | Apr 2022 (4y) | Less than 5% | |
| Stumm, Gregory, John | Director | May 2024 (2y) | Less than 5% | |
| Sears, Christina, Elaine | Chief Compliance Officer | Sep 2024 (2y) | Less than 5% | |
| Jonathan James Hunter | Registered representative | CFA | Apr 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Resolute Investment Managers, Inc | Shareholder | Apr 2017 | A | 50% – 75% |
| Shapiro Capital Management Company, Inc. | Member | Feb 2006 | A | 10% – 25% |
| Resolute Acquistion, Inc | Shareholder | Apr 2015 | B | 75% or more of Resolute Investment Managers, Inc. (indirect) |
| Resolute Topco, Inc. | Shareholder | Apr 2015 | B | 75% or more of Resolute Acquisition, Inc. (indirect) |
| Samual R. Shapiro Estate | Shareholder | Dec 2021 | B | ≈ 2.5% – 12.5% via Shapiro Capital Management Company, Inc. |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Samual R. Shapiro Estate: 25% – 50% of Shapiro Capital Management Company, Inc. × 10% – 25% direct ≈ 2.5% – 12.5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Oge Energy Corp. Retirement Plan | Oge Energy Corp. | 730 | $281M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/28/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Goldman Sachs $748M (38% of AUM) May 2026
- State Street $656M (22% of AUM) Dec 2025
- Charles Schwab & Co. $408M (21% of AUM) May 2026
- BNY Mellon $312M (16% of AUM) May 2026
- Northern Trust $246M (8% of AUM) Dec 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 28, 2026.
View current Form ADV (SEC/IAPD) ↗