# Shaker Investments

> Shaker Investments is an SEC-registered investment advisory firm in Beachwood, OH, registered since 2002, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 119135
- Filed as: SHAKER INVESTMENTS
- Legal name: Shaker Investments, L.L.C.
- Also doing business as: SHAKER INVESTMENTS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Beachwood, OH
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/119135
- AdvisorCensus page: https://advisorcensus.com/firm/shaker-investments-beachwood-oh-119135

## Quick answers

**How is Shaker Investments compensated?**
On its Form ADV (Item 5.E, October 2026), Shaker Investments reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**How much does Shaker Investments charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Asset-based fee: 0.5% to 1% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Shaker Investments located?**
Shaker Investments' principal office is in Beachwood, OH, according to its Form ADV.

**Is Shaker Investments registered with the SEC or a state?**
Shaker Investments is an SEC-registered investment advisory firm, registered since 2002. Status as filed: Approved. CRD 119135.

**How much does Shaker Investments manage?**
Shaker Investments reports $258,762,352 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Shaker Investments' assets and staff changed since 2021?**
In the Form ADV data for Shaker Investments: Regulatory assets under management: $196,171,051 in the October 2021 data and $258,762,352 in the October 2026 data, up 32%. Total employees: 9 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Shaker Investments serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (67); high net worth individuals (55); corporations or other businesses not listed above (3).

**Which custodians does Shaker Investments use?**
Shaker Investments' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Shaker Investments report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/119135

**What changed in Shaker Investments' recent Form ADV filings?**
In the April 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Asset-based fee: 0.5% to 1% a year (a range, as the brochure states it)

> Our annual fees for separately managed accounts are based upon a percentage of assets under management and generally range from 0.5% to 1.0%.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $258,762,352
- Discretionary: $258,644,158
- Non-discretionary: $118,194

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 67 | $25,889,205 |
| High net worth individuals | 55 | $105,394,375 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $102,553,716 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $1,845,735 |
| Charitable organizations | 2 | $1,875,365 |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 3 | $21,203,956 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other

### Firm details
- Registered since: 2002 (24 years)
- Employees: 9 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, OH, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [shakerinvest.com](https://shakerinvest.com)
- LinkedIn @shaker-investments-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $196,171,051 | 9 | July 28, 2021 |
| October 2022 | $255,570,898 | 9 | March 25, 2022 |
| October 2023 | $194,159,223 | 10 | March 31, 2023 |
| October 2024 | $227,852,508 | 10 | March 22, 2024 |
| October 2025 | $253,099,411 | 10 | March 31, 2025 |
| October 2026 | $258,762,352 | 9 | March 30, 2026 |

Regulatory assets under management: $196,171,051 in the October 2021 data and $258,762,352 in the October 2026 data, up 32%.
Total employees: 9 in October 2021 and 9 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Updated its list of owners and control persons (Schedule A).

### January 2026
- No longer registered or notice-filed in MA, NY.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Shaker Investments (CRD 119135): Form ADV filing data as of October 2026.