Roy Sherman
Sherman Asset Management · Ventura, California
Roy Sherman is a fee-only financial advisor at Sherman Asset Management in Ventura, California, who holds the CFP credential. Sherman Asset Management reports charging a percentage of assets, fixed fees and performance-based fees on its Form ADV.
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Facts
| Firm | Sherman Asset Management |
|---|---|
| Based in | Ventura, California |
| Fee model (firm's Form ADV) | Percentage of assets · Fixed fees · Performance-based fees |
| Assets under management | $140.8M across 151 accounts |
| Credentials | CFP |
| SEC registration | Investment adviser representative in CA · CRD 6312263 |
| Exams passed | Series 65 (2012) |
| Firm size | 1 employee |
| Disclosures | None reported |
| Website | roysherman.substack.com |
| Profile |
How Roy's firm compares
- Sherman Asset Management's average account is about $932,000, from its Form ADV (assets managed divided by 151 accounts).
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Questions about Roy
Is Roy Sherman a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: Roy holds no broker registration, and Sherman Asset Management reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does Roy charge for financial advice?
Roy's firm, Sherman Asset Management, reports charging a percentage of assets, fixed fees and performance-based fees on its SEC Form ADV.
Where is Roy Sherman based?
Roy Sherman is based in Ventura, California.
What credentials does Roy Sherman hold?
Roy Sherman holds the CFP credential.
Is Roy Sherman registered with the SEC?
Yes. Roy Sherman is registered as an investment adviser representative in CA (CRD 6312263), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does Sherman Asset Management manage?
Sherman Asset Management reports $140.8M across 151 accounts in assets under management.
How do I contact Roy Sherman?
Through Roy's website, roysherman.substack.com.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Other fee-only advisors in Ventura
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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