Andrew E. Shapiro

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CRD#: 4965257

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Andrew Evan Shapiro was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1996. Andrew had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Name of the other business - Diamond A Advisors, Inc. (f/k/a Lawndale Capital Management, Inc.) 59 Carmelita Ave. Mill Valley, CA 94941. The business is not investment-related other than services it provides for affiliate, Lawndale Capital Management, LLC. Nature of the other business - to provide board service, corporate governance and shareholder activism related consulting in the future. Mr. Shapiro is the CEO and President of Diamond A Advisors, Inc. and has been since December 1992. At present at least 180 hours/month is devoted to affiliate Lawndale Capital Management, LLC including securities trading hours and 5-10 hours/month at present (all outside securities trading hours) towards building future consulting business in preparation for the winddown of Lawndale Capital Management LLC as registered investment advisor.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 1, 1996 - December 31, 2024

LAWNDALE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 135638

MILL VALLEY, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Current Firm

LAWNDALE CAPITAL MANAGEMENT, LLC

CRD#: 135638 / SEC#:

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Contact information

Main Address

59 Carmelita Avenue, Mill Valley, CA 94941

Mailing Address

Phone number

(415) 389-8258

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 3,817,000

Red Flags

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