Sherwood Yuen

VANGUARD PERSONALIZED INDEXING MANAGEMENT

Oakland, CA 94612

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CRD#: 4438121

Professional summary

Sherwood Yuen, who also goes by Sherwood Hanway Yuen, is a registered financial advisor currently at VANGUARD PERSONALIZED INDEXING MANAGEMENT located in Oakland, California.

Sherwood is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Sherwood has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sherwood Hanway Yuen

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sherwood Yuen'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

July 19, 2019 - Present

VANGUARD PERSONALIZED INDEXING MANAGEMENT

Office #1: 1611 Telegraph Ave., Suite 1100, Oakland, CA 94612

RIA

CRD#: 285366

Oakland, CA

Past

January 4, 2007 - February 17, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

September 17, 2002 - October 4, 2006

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN FRANCISCO, CA

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".

VANGUARD PERSONALIZED INDEXING MANAGEMENT

CRD#: 285366 / SEC#: 801-114487

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

California

Registered Investment Advisory firm - (6/14/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/15/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(7/19/2019)

IAR

Pennsylvania
(8/7/2024)

IAR

Texas
(8/6/2024)

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

IAR

Series 65

Date: 10/25/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/16/2002

General Securities Representative Examination

Current Firm

VANGUARD PERSONALIZED INDEXING MANAGEMENT

CRD#: 285366 / SEC#: 801-114487

RIA

Registered Investment Advisory firm - (1/30/2019 Approved)

California

Registered Investment Advisory firm - (6/14/2019 Terminated)

Massachusetts

Registered Investment Advisory firm - (5/15/2019 Terminated)

Texas

Registered Investment Advisory firm - (5/15/2019 Terminated)

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Contact information

Main Address

1611 Telegraph Ave., Suite 1100, Oakland, CA 94612

Mailing Address

100 Vanguard Blvd., Malvern, PA 19355

Phone number

(844) 317-5190

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	2,864
AUM (Assets Under Management)	$ 7,259,990,002

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.

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Sherwood Yuen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sherwood Yuen's CRS (Customer Relationship Summary).

Certified licenses

Experience

VANGUARD PERSONALIZED INDEXING MANAGEMENT

WELLS FARGO INVESTMENTS, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

VANGUARD PERSONALIZED INDEXING MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/2018

Series 63

Date: 9/24/2002

Series 7

Date: 9/16/2002

Current Firm

VANGUARD PERSONALIZED INDEXING MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VANGUARD PERSONALIZED INDEXING MANAGEMENT

TRUST BUT VERIFY

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