Sherman Asset Management, Inc.

RIASEC RegisteredEst. 2024
Total AUM
$141M
Discretionary
$141M
100% of AUM
Avg account
$932K
Accounts
151
Employees
1
Advisory reps
1

Firm details

Headquarters
Ventura, California
CRD number
170861
Registered since
March 7, 2024
Custodians
CHARLES SCHWAB & CO., INC., BOK FINANCIAL SECURITIES, INC.
Fee structure
Percentage of AUM, Fixed Fees, Performance Based Fees
Client types
  • HNWI72.02%
  • Corporations / Businesses20.59%
  • Individuals3.92%
  • Pooled Investment Vehicles3.48%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Sherman Asset Management, Inc. operates as an independent registered investment adviser organized as a corporation and owned by an individual. The firm serves both individual and family clients as well as institutional investors, and provides financial planning alongside portfolio management for individuals, small businesses and pooled investment vehicles. Its compensation mixes percentage-of-AUM billing with fixed fees and performance-based fees. Sherman is not positioned as a capital allocator or an ESG-focused investor; it reports SEC registration activity and sponsors and serves in GP/managing-member roles for pooled vehicles it advises.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 84%, US Government Bonds 14%, Cash & Cash Equivalents 2%84%
  • Exchange Traded Equities84%
  • US Government Bonds14%
  • Cash & Cash Equivalents2%

Contacts

1 of 1
  • Roy Sherman

    Roy Sherman

    PresidentCRD 6312263

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 79

Active vs passive

$114M in ETFs

Passive

100%

$113M

Active

<1%

$341K

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$21.4M32,73418.81%

Location

Primary office

Ventura, CA

Ventura

Location

Ventura, CA

Headquartered in Ventura, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.

Metro area
Los Angeles-Long Beach, CA
Region
West
County
Ventura
Address
1500 Palma Dr
Time zone
PT (UTC-8)
Office locations

Similar firms

Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth