S3, Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$85,774,908
Clients
95
Advisors
2
of 3 employees
About
S3, Inc. works primarily with individual investors and trustees, offering portfolio management and personal financial planning tailored to each account. The firm manages individualized accounts that can include dividend-paying stocks, bonds, mutual funds and, in certain situations, options or other types of assets.
Its investment approach emphasizes a buy-and-hold strategy focused on dividend-paying common stocks selected through a screening process that yields a buy list organized across 13 industry sectors; bond selection generally targets up to BBB corporate quality with smaller-lot diversification. Although the firm typically has written discretionary authority, it reports that it rarely exercises that discretion in practice and prefers to implement changes through face-to-face meetings or email communication.
What is distinctive is that the firm discloses the ability to hold derivatives (options) and other non-standard assets in client accounts and that it serves as trustee for some client trusts, creating potential conflicts and constructive custody arrangements that may lead to hiring outside managers in specific cases. The brochure also notes receipt of soft-dollar research and services from its chosen custodian and an unrelated rental-property business, details that are less common among similar supported firms.
Client services
Expertise
Occupation focus
Fee options
$0 - $500,000: 2.00% $500,000 - $1,000,000: 1.75% $1,000,000+: 1.50%
Main office
5402 Parkdale Drive, Suite 100
Minneapolis MN 55416
Advisors at this office
2
Most active in
Minnesota
Also doing business as
S3 Inc · S3, Inc
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
Advisors at this firm
Mark S
Series 63, Series 65
Minneapolis, MN
S3, Inc
Mark Sherman is a financial advisor at S3, Inc. in Minneapolis, MN, with 12 years of industry experience. He holds Series 63 and Series 65 licenses and has been with S3, Inc. since 2000. Outside of his advisory work, Sherman is the owner and CEO of two computer software companies, VIPADVISOR.COM and CHARITYBOX.COM. S3, Inc. serves individual investors and trustees by providing discretionary and non-discretionary portfolio management along with personal financial planning. The firm focuses on dividend-paying common stocks through a multi-step screening process and generally invests in investment-grade corporate bonds, offering tailored planning and investment oversight across approximately 101 client accounts.
Thomas S
Series 65
Minneapolis, MN
S3, Inc
Thomas Sherman is a financial advisor at S3, Inc. based in Minneapolis, MN, holding a Series 65 designation with 12 years of industry experience. He has operated Sherman Consulting, Ltd since 1997. S3, Inc. serves individual investors and trustees by providing discretionary and non-discretionary portfolio management and personal financial planning focused on asset retitling, charitable gifts, and employment transitions. The firm manages approximately $75.5 million across about 101 client accounts, using a long-term investment approach centered on dividend-paying common stocks selected through a multi-step screening process and primarily investment-grade corporate bonds.
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