Shane D. Pendley

5TH STREET ADVISORS

STAMFORD, CT 06905

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CRD#: 6634776

Professional summary

Shane Dee Pendley, CFP® is a registered financial advisor currently at 5TH STREET ADVISORS, LLC located in Stamford, Connecticut.

Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Shane has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Dee Pendley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

April 8, 2016 - Present

5TH STREET ADVISORS, LLC

Office #1: 34 Fifth Street, Stamford, CT 06905

RIA

CRD#: 140165

STAMFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

5TH STREET ADVISORS, LLC

5TH STREET ADVISORS LLC | 5TH STREET ADVISORS, LLC

CRD#: 140165 / SEC#: 801-68066

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Connecticut

Registered Investment Advisory firm - (7/9/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(8/2/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/2016

Uniform Investment Adviser Law Examination

Current Firm

5TH STREET ADVISORS, LLC

5TH STREET ADVISORS LLC | 5TH STREET ADVISORS, LLC

CRD#: 140165 / SEC#: 801-68066

RIA

Registered Investment Advisory firm - (6/25/2007 Approved)

Connecticut

Registered Investment Advisory firm - (7/9/2007 Terminated)

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Contact information

Main Address

107 John Street, Southport, CT 06890

Mailing Address

Phone number

(203) 327-1212

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

5TH STREET ADVISORS DISCLOSURE BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	655
AUM (Assets Under Management)	$ 446,775,008

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Shane D. Pendley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Dee Pendley's CRS (Customer Relationship Summary).

Certified licenses

Experience

5TH STREET ADVISORS, LLC

Primary Firm SEC Registration

5TH STREET ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2016

Current Firm

5TH STREET ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

5TH STREET ADVISORS, LLC

TRUST BUT VERIFY

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