Ross P. Herman

HIP INVESTOR

Highland Park, IL

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CRD#: 5650505

Professional summary

Ross Paul Herman, who also goes by R P Herman, R Paul Herman, Ross P Herman, is a registered financial advisor currently at HIP INVESTOR, INC. located in Highland Park, Illinois and SONOMA PRIVATE WEALTH LLC located in Highland Park, Illinois.

Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Ross has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

R P Herman | R Paul Herman | Ross P Herman

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.

ROSS PAUL HERMAN is CEO of HIP Investor Inc, and is also the Managing Member of HIP Investor Ratings LLC, which produces and licenses ratings and research of stocks, bonds, funds, and other securities, which are sold to investors, advisors, fund managers, and other investor types. HIP Investor Ratings LLC is based in California, and founded in February 2014. Herman generally splits time equally among the two businesses, including during market trading hours - with investment strategies, portfolios, and advice provided by Herman to HIP Investor Inc., and investment ratings, research, and analytics at HIP Investor Ratings LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Paul Herman'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

June 9, 2009 - Present

HIP INVESTOR, INC.

RIA

CRD#: 149825

Highland Park, IL

Current

March 12, 2021 - Present

SONOMA PRIVATE WEALTH LLC

RIA

CRD#: 308547

HIGHLAND PARK, IL

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".

SONOMA PRIVATE WEALTH LLC

SONOMA PRIVATE WEALTH LLC | SPW+ | SPW

CRD#: 308547 / SEC#: 801-125022

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

California

Registered Investment Advisory firm - (7/7/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/7/2022 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
(6/9/2009)

IAR

Illinois
(5/7/2010)

IAR

Louisiana
(4/10/2023)

IAR

Massachusetts
(9/11/2024)

IAR

New York
(7/25/2023)

IAR

North Carolina
(4/4/2023)

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: 5/28/2009

Uniform Investment Adviser Law Examination

Current Firm

SONOMA PRIVATE WEALTH LLC

SONOMA PRIVATE WEALTH LLC | SPW+ | SPW

CRD#: 308547 / SEC#: 801-125022

RIA

Registered Investment Advisory firm - (5/13/2022 Approved)

California

Registered Investment Advisory firm - (7/7/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/7/2022 Terminated)

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Contact information

Main Address

Sonoma, CA

Mailing Address

268 Bush Street #3926, San Francisco, CA 94104

Phone number

(415) 806-0073

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

SONOMA PRIVATE WEALTH LLC ADV BROCHURE (3/7/2025)

Regulatory assets under management

Total Number of Accounts	221
AUM (Assets Under Management)	$ 136,746,367

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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Ross P. Herman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Paul Herman's CRS (Customer Relationship Summary).

Certified licenses

Experience

HIP INVESTOR, INC.

SONOMA PRIVATE WEALTH LLC

Primary Firm SEC Registration

SONOMA PRIVATE WEALTH LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/2009

Current Firm

SONOMA PRIVATE WEALTH LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SONOMA PRIVATE WEALTH LLC

TRUST BUT VERIFY

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