SHEARMAN, RALSTON INC.

Overview

Shearman, Ralston Inc. is a small broker-dealer that also provides portfolio management services aimed at individuals and small businesses. Registered with the SEC since 1976 and owned by an individual, the firm runs a fee model based on a percentage of assets under management. Investment activity is equity-centric: the firm shows a clear preference for exchange-traded equities as the primary building block across client portfolios, supplemented selectively with credit instruments and real estate exposures. Shearman, Ralston operates primarily in a non-discretionary capacity but maintains a discretionary sleeve for a portion of client assets, allowing for both advisory relationships where clients retain control and mandates where the firm manages day-to-day execution. Shearman, Ralston does not position itself as an ESG-driven allocator and is organized to serve a concentrated clientele of high-net-worth individuals and families. As a broker-dealer, its capabilities extend to execution and custody arrangements consistent with an equity-heavy investment posture, and it relies on third-party managers when deploying alternative real estate strategies.

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