{"url":"https://nivawealth.com/firms/g-w-sherwold-associates-42186","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/42186","regulatoryAum":572374007,"crd":"42186","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1506645","suffix":null,"lastName":"DEVONE","firstName":"ADAM","middleName":"ROBERT"},{"crd":"4310431","suffix":"II","lastName":"FLYNN","firstName":"THOMAS","middleName":"PATRICK"},{"crd":"6436580","suffix":null,"lastName":"NESHEIM","firstName":"MICHAEL","middleName":"T"},{"crd":"1353782","suffix":null,"lastName":"SHERWOLD","firstName":"GARY","middleName":"WILLIAM"},{"crd":"4133113","suffix":null,"lastName":"TOLEDANO","firstName":"JUAN","middleName":"EMILIANO"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-02-10","regulatoryAum":134507792,"clients":332,"employees":3,"offices":1},{"filedOn":"2022-05-10","regulatoryAum":155652602,"clients":341,"employees":3,"offices":1},{"filedOn":"2023-03-17","regulatoryAum":132976679,"clients":338,"employees":3,"offices":1},{"filedOn":"2024-04-05","regulatoryAum":376717482,"clients":347,"employees":3,"offices":1},{"filedOn":"2025-04-29","regulatoryAum":455358654,"clients":345,"employees":3,"offices":1},{"filedOn":"2026-02-13","regulatoryAum":572374007,"clients":424,"employees":3,"offices":1}],"secFileNumber":"801-118949","legalName":"G.W. Sherwold Associates, Inc.","displayName":"G.W. Sherwold Associates","slug":"g-w-sherwold-associates-42186","website":"https://gwsherwold.com/","classification":{"segment":"institutions","segmentLabel":"Institutional","type":"institutional_wealth_manager","typeLabel":"OCIO / institutional wealth","feeDisclosure":"payment_only"},"founded":null,"organization":"California corporation","fiscalYearEnd":"January","headquarters":{"street":"22994 El Toro RD","city":"Lake Forest","state":"CA","stateName":"California","country":"United States","postalCode":"92630"},"tradeNames":[],"registration":{"secApproved":"19 June 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":353032.92530120484,"staff":{"employees":3,"advisory":1,"brokerDealerReps":3,"insuranceAgents":3,"promoters":2},"aum":{"regulatory":572374007,"discretionary":146508664,"discretionaryAccounts":777,"nonDiscretionary":425865343,"nonDiscretionaryAccounts":9,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":415,"regulatoryAum":146508664},{"label":"Pension and profit-sharing plans","clients":9,"regulatoryAum":425865343}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"G.W. Sherwold Associates does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gary William Sherwold","title":"President & Chief Compliance Officer","crd":"1353782"}],"ownership":[{"label":"Gary William Sherwold","detail":"President & chief compliance officer in the 75% or more ownership band and a control person, since April 1994."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"22994 El Toro RD","city":"Lake Forest","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"949-470-0700","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":22},{"label":"Cash and cash equivalents","percent":3},{"label":"Other","percent":74,"detail":"Pension and Profit-Sharing Plans"}],"privateFunds":0},"sources":{"adv1FilingDate":"13 February 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/42186/PDF/42186.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does G.W. Sherwold Associates have?","answer":"G.W. Sherwold Associates has 424 clients and manages $572 million for them, as of February 2026. They include 415 individuals and 9 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 February 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does G.W. Sherwold Associates offer?","answer":"G.W. Sherwold Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does G.W. Sherwold Associates have?","answer":"G.W. Sherwold Associates has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 1 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does G.W. Sherwold Associates invest in?","answer":"At the end of its last fiscal year, G.W. Sherwold Associates’ separately managed accounts held 74% other, 22% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents and 1% exchange-traded equities. The 74% other category is described as: Pension and Profit-Sharing Plans.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns G.W. Sherwold Associates?","answer":"G.W. Sherwold Associates’ direct owner is Gary William Sherwold (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 13 February 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does G.W. Sherwold Associates get paid?","answer":"G.W. Sherwold Associates is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact G.W. Sherwold Associates?","answer":"G.W. Sherwold Associates’ main office is at 22994 El Toro RD, Lake Forest, CA 92630. Its phone number is 949-470-0700. Its website is gwsherwold.com.","source":"Form ADV Part 1A, Item 1.F, filed 13 February 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}