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Roy + Sherman - Financial Advisor in Ventura, CA

Paladin Research Report For:

Roy Sherman

Sherman Asset Management

CFP® CFA
1500 Palma Dr.
Suite 133
Ventura, CA 93003
805-655-5062
Visit Website
https://shermanassetmgmt.com

About Roy Sherman

Sherman Asset Management is a Registered Investment Advisor serving clients in the State of California.

See Disclosures

General Information

Firm Start Year
  • 2014
No. of Employees
  • 1
CRD#
  • 6312263
Firm CRD#
  • 170861
Years of Experience in Financial Services
  • 9
Number of Years with Current Firm
  • 9
Work with the following types of clients
  • Individual Investors, Businesses
Advisory Services Provided
  • Investment Advice & Management, Financial Advice & Consulting, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Financial Planning

Compliance

Registered Investment Advisor
  • Yes
Investment Advisor Representative
  • Yes
Acknowledged fiduciary
  • Yes
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
  • 47
Assets Managed by Firm
  • $75,000,000
Advisor's Number of Clients
  • 47
Assets Managed by Advisor
  • $75,000,000

Compensation and Fees

Fee Structure
  • Fee-Only
Minimum Portfolio Size for New Managed Accounts
  • No asset minimum
Compensation Methods
  • Flat Fee, Hourly, Based on Assets
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

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Connect with us

  • Office Address
    12150 Monument Drive, Suite 700
    Fairfax, VA, 22033
  • Telephones
    Tel: 703-651-2060
    Fax: 703-259-4487
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