Sherman Asset Management, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$106,882,452
Clients
32
Advisors
1
of 1 employees
About
Sherman Asset Management, Inc. provides financial planning, discretionary asset management, and consulting services to individuals, trusts, and business clients. The firm operates as a small independent adviser and structures engagements around an initial data-gathering process and ongoing supervisory portfolio management.
SAM’s investment approach combines strategic asset allocation with tactical shifts driven by analysis of recent price movements in ETFs and individual stocks, and the firm monitors portfolios daily with at least quarterly performance reviews. The brochure discloses that the tactics rely on statistical back‑testing, may involve frequent trading, and can include the use of margin and options strategies; SAM also integrates third‑party insurance and annuity reporting through a DPL Marketplace to provide consolidated client reporting.
What distinguishes the firm from many solo independent advisers is its role as investment manager to an affiliated pooled vehicle, Signal 7 Tactical Sentiment Fund LP, with an affiliated entity acting as general partner and potential performance‑based allocations to the manager. The brochure describes that fund interests are privately offered to eligible clients, may be subject to side‑letter arrangements and separate fund fees and expenses, and that these relationships and potential conflicts are disclosed to prospective investors.
Client services
Expertise
Occupation focus
Fee options
Financial planning fixed fees generally ranging from $1,000 to $10,000
0.75% annually with a $3,000 minimum annual fee
20% performance allocation on Fund gains above 8% with a high-water mark for Signal 7 Tactical Sentiment Fund LP
Minimum fee: $3,000 annual minimum fee for Asset Management Services Fee-only: Financial planning fixed fees ranging from $1,000 to $10,000, typically one-time fees
Main office
1500 Palma Dr., Suite 133
Ventura CA 93003
Advisors at this office
1
Most active in
California
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:
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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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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.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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