Sherman Asset Management, Inc.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$106,882,452
This total excludes 1 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
32
53% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
32
TypicalAverage account size
$3,340,077
About
Sherman Asset Management offers financial planning, discretionary asset management, and consulting to individuals, trusts, and business entities, and evaluates annuities and insurance using an integrated commission‑free marketplace to provide consolidated reporting. The firm also manages an affiliated pooled investment vehicle that it offers to eligible investors subject to suitability and subscription documents.
Investment management is driven by asset allocation with tactical shifts based on recent price movements in ETFs and individual stocks, supported by statistical back‑testing and daily monitoring with at least quarterly performance reviews. The adviser exercises discretionary authority over client accounts and discloses that its tactics can involve frequent trading and the potential use of margin, with attendant tax and transaction‑cost risks.
Noteworthy differences from many peers include acting as investment manager to an affiliated private fund and receiving fund‑level compensation and performance allocations, which the firm discloses as creating potential conflicts of interest and which may be mitigated by disclosures and allocation policies. On the operational side, the firm requires clients to custody assets at a designated custodian and integrates third‑party insurance reporting through a marketplace, and it describes the ability to enter side‑letter arrangements and other fund governance features for certain investors.
Client services
Financial planning
Portfolio management
Expertise
Annuities
Life insurance needs analysis
Long-term care insurance
Disability insurance
Fee options
Financial planning fees are fixed fees, generally $1,000 to $10,000 per engagement
Performance-based allocation of 20% on Fund investment gains above 8% hurdle rate
Minimum fee: $3,000 annual minimum fee for Asset Management Services Fee-only: Fixed financial planning fees generally range from $1,000 to $10,000
Main office location
Sherman Asset Management, Inc.
1500 Palma Dr., Suite 133
Ventura CA 93003, United States
Number of offices
1
Most active in
Sherman Asset Management, Inc. has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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