Michael J. Sherman

M4A3 LLC

BOULDER, CO 80302

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CRD#: 2286858

Professional summary

Michael John Sherman is a registered financial advisor currently at M4A3 LLC located in Boulder, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

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.

Schoolcraft Capital; Investment Related; At reported business location; Registered Investment Adviser; Managing Partner & Investment Adviser Representative; February 2, 2015; 160 hours/month, 160 hours/month during securities trading hours; investment adviser representative servicing clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Sherman'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®

None

Experience

Current

May 27, 2025 - Present

M4A3 LLC

Office #1: 820 Pearl Street Ste F, Boulder, CO 80302

RIA

CRD#: 336172

BOULDER, CO

Past

May 29, 2015 - June 4, 2025

SACHEM HILL LLC

RIA

CRD#: 174210

DENVER, CO

Past

August 16, 2000 - November 10, 2014

CRESTONE SECURITIES LLC

CRD#: 103981

BOULDER, CO

Past

June 22, 2000 - November 10, 2014

CRESTONE ASSET MANAGEMENT LLC

RIA

CRD#: 108581

BOULDER, CO

Past

February 10, 1993 - September 13, 2000

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

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".

M4A3 LLC

CRD#: 336172 / SEC#: 801-132765

RIA

Registered Investment Advisory firm - (5/12/2025 Approved)

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

Colorado
(5/27/2025)

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

Series 63

Date: 4/21/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/10/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/16/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/1997

General Securities Principal Examination

Current Firm

M4A3 LLC

CRD#: 336172 / SEC#: 801-132765

RIA

Registered Investment Advisory firm - (5/12/2025 Approved)

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Contact information

Main Address

820 Pearl Street Ste F, Boulder, CO 80302

Mailing Address

Phone number

(303) 396-6204

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR M4A3 LLC (9/9/2025)

Regulatory assets under management

Total Number of Accounts	148
AUM (Assets Under Management)	$ 317,330,050

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael J. Sherman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Sherman's CRS (Customer Relationship Summary).

Certified licenses

Experience

SACHEM HILL LLC

CRESTONE SECURITIES LLC

CRESTONE ASSET MANAGEMENT LLC

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

M4A3 LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/21/1993

SIE

Date: 11/10/2014

Series 7

Date: 12/16/1992

Series 24

Date: 10/22/1997

Current Firm

M4A3 LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

M4A3 LLC

TRUST BUT VERIFY

Contact information

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