Roy Sherman

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About Roy Sherman

I started working as a financial planner in 2014. I use my background in the fields of psychology, business, and financial planning to assist you in achieving your goals and navigating financial decisions. I specialize in helping solopreneurs maximize the effectiveness of their resources. I live with my wife and two children, and enjoy running, cooking, and travelling together.

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General Information

Firm Start Year

2014

No. of Employees

CRD#

6312263

Firm CRD#

170861

Years of Experience in Financial Services

Number of Years with Current Firm

Work with the following types of clients

Businesses, Individual Investors

Advisory Services Provided

Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Risk Management, Financial Advice & Consulting, Investment Advice & Management, Financial Planning, Portfolio Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning

Compliance

Registered Investment Advisor

Investment Advisor Representative

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP^®, CFA

Securities Licenses

Series 65

Firm Information

Firm's Number of Clients

Assets Managed by Firm

$121,000,000

Advisor's Number of Clients

Assets Managed by Advisor

$121,000,000

Compensation and Fees

Fee Structure

Fee-Only

Minimum Portfolio Size for New Managed Accounts

No asset minimum

Compensation Methods

Based on Assets, Hourly, Flat Fee

Fee % Based on Assets

0.6%

Hourly Rate

$300

Additional Details on Charges

Clients are charged a financial planning fee and an asset-based fee (if applicable).

The financial planning fee is $2,400. You receive unlimited time with your advisor and covers goals and cash flowing planning, retirement planning, investment planning, debt management, and insurance planning. It also covers tax planning and estate planning, done in conjunction with your tax preparer and estate planning attorney. If anything unexpected comes up there is no additional fee for financial plan updates and advice. This financial planning fee is required as part of your ongoing relationship with your advisor

If you choose to also have your investments managed you pay a 0.6% annual asset-based fee on the value of your investments. This is not a requirement for investments you choose to implement and manage yourself.

If you choose a one-time engagement you are charged based on the number of hours worked on your plan. The rate is $300 per hour.

Disclosures

PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1891508/paladinregistry-Sherman-Asset-Management-detailed-disclosure.html

Paladin Advisors

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Paladin Research Report For:

Sherman Asset Management