Shuttleworth & Company
- Regulatory AUM
- $173M
- Discretionary
- $173M
- Clients
- 204
- Avg AUM / client
- $848K
- Accounts
- 483
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Apr 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 142 | $37.9M | 21.9% |
| High net worth individuals | 56 | $124M | 71.9% |
| Pension and profit sharing plans | 6 | $7.3M | 4.23% |
| Charitable organizations | Fewer than 5 clients | $3.2M | 1.84% |
| Corporations and other businesses | Fewer than 5 clients | $226K | 0.13% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Plunkett Cooney, P.C. Employees' Profit Sharing Plan Plunkett Cooney, P.C. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Shuttleworth, David, Lee | President & Chief Compliance Officer | Mar 1999 (27y) | ≈ 18.75% – 50% via David L. Shuttleworth Trustee, David L. Shuttleworth Amended And Restated Trust U/A/D 7/30/2015 | |
| Erin M Maynard | Shareholder | Chartered Financial Consultant | Jan 2012 (15y) | 25% – 50% |
| Matthew Raymond Freiburger | Shareholder | CFA | Dec 2020 (6y) | 25% – 50% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| David L. Shuttleworth Trustee, David L. Shuttleworth Amended And Restated Trust U/A/D 7/30/2015 | Trust | Dec 2001 | A | 25% – 50% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Shuttleworth, David, Lee: 75% – 100% of David L. Shuttleworth Trustee, David L. Shuttleworth Amended And Restated Trust U/A/D 7/30/2015 × 25% – 50% direct ≈ 18.75% – 50% 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 |
|---|---|---|---|---|
| Plunkett Cooney, P.C. Employees' Profit Sharing Plan | Plunkett Cooney, P.C. | 157 | $87.2M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/15/2026 | 922 KB | 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
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $170M (98% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Apr 15, 2026.
View current Form ADV (SEC/IAPD) ↗