Roy Sherman has been CEO and CCO of Sherman Asset Management since February 2014, is a control person of the firm and directly owns 75% or more of it.
Sherman Asset Management, Inc. is a Ventura, CA firm with $141M under management, 33 clients and 1 adviser in one office, as of its September 2026 filing.
Roy Sherman founded Sherman Asset Management in 2014. He draws on a background in psychology, business, and financial planning, and works with Realtors and other solopreneurs.
- – present · 12 yearsVentura, CA · Adviser representative · Firm CRD 170861
Professional designations
Listed by Sherman Asset Management
- Chartered Financial Analyst (CFA®)
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Roy Sherman is registered as an investment adviser representative in California, since April 2014.
- CaliforniaSince 22 April 2014
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 August 2012 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Roy Douglas Sherman
- CRD
- 6312263
- Firm
- Sherman Asset Management · CRD 170861
- Role
- CEO and CCO
- Office
- 1500 PALMA DR., SUITE 133, Ventura, CA 93003
- Registration
- Investment adviser registration
- In the industry since
- April 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- shermanassetmgmt.com
Where does Roy Sherman work?
Roy Sherman has been CEO and CCO of Sherman Asset Management, Inc. since February 2014, and is a control person of the firm.
Is Roy Sherman a financial advisor?
Yes. Roy Sherman has a current investment-adviser registration in California, through Sherman Asset Management since April 2014.
How many years of experience does Roy Sherman have?
Roy Sherman has 12 years in the financial industry, since April 2014, across 1 adviser firm.
What exams has Roy Sherman passed?
Roy Sherman passed the Series 65 in August 2012.
Where is Roy Sherman based?
Roy Sherman’s registered office is in Ventura, CA.
Is Roy Sherman registered with FINRA?
No. Roy Sherman has no current broker registration.
Is Roy Sherman a CFP?
Sherman Asset Management lists Roy Sherman with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Is Roy Sherman a CFA charterholder?
Sherman Asset Management lists Roy Sherman with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify Roy Sherman’s record?
Search CRD 6312263 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roy Sherman’s full registration record.