Roy D. Sherman
SHERMAN ASSET MANAGEMENT
Ventura, CA 93003
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CRD#: 6312263
Professional summary
Roy Douglas Sherman, CFP®, who also goes by Roy Sherman, is a registered financial advisor currently at SHERMAN ASSET MANAGEMENT, INC. located in Ventura, California.
Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Roy has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roy Sherman
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.
I AM AN EXECUTIVE VICE PRESIDENT OF TOPANGA REINSURANCE AND CRIMSON INSURANCE SERVICES. THE BUSINESSES ARE NOT INVESTMENT-RELATED. THE BUSINESSES ARE OPERATED FROM 30941 AGOURA ROAD, SUITE 208 IN WESTLAKE VILLAGE, CA. THE BUSINESSES ARE INSURANCE-RELATED. I AM AN OFFICER OF BOTH COMPANIES AND HAVE BEEN SINCE JANUARY 2012. I SPEND ROUGHLY 10 TO 15 HOURS PER MONTH ON BOTH OF THESE BUSINESSES, SOME OF WHICH OCCUR DURING SECURITIES TRADING HOURS. I AM RESPONSIBLE FOR ATTENDING MANAGEMENT MEETINGS AND ANALYZING THE FINANCIALS OF THE BUSINESSES.
CRS (Client Relationship Summary) - RIA
Click below to view Roy Douglas Sherman's 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®
CFP®
Start date: 2019
Experience
Current
April 22, 2014 - Present
SHERMAN ASSET MANAGEMENT, INC.
Office #1: 1500 Palma Dr. Suite 133, Ventura, CA 93003RIA
CRD#: 170861
Ventura, 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".
SA
SHERMAN ASSET MANAGEMENT, INC.
SHERMAN ASSET MANAGEMENT, INC.
CRD#: 170861 / SEC#: 801-129640
RIA
Registered Investment Advisory firm - (3/7/2024 Approved)California
Registered Investment Advisory firm - (4/24/2024 Terminated)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(4/22/2014)
Current Firm
SA
SHERMAN ASSET MANAGEMENT, INC.
SHERMAN ASSET MANAGEMENT, INC.
CRD#: 170861 / SEC#: 801-129640
RIA
Registered Investment Advisory firm - (3/7/2024 Approved)California
Registered Investment Advisory firm - (4/24/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1500 Palma Dr. Suite 133, Ventura, CA 93003
Mailing Address
Phone number
(805) 655-5062
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 130 |
| AUM (Assets Under Management) | $ 140,561,635 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 10/02/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SHERMAN ASSET MANAGEMENT, INC.
CRD#: 170861Ventura, CA 93003TRUST BUT VERIFY
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