Roy Douglas Sherman
Investment Adviser Representative at Sherman Asset Management, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Roy Douglas Sherman is an investment adviser representative with Sherman Asset Management, Inc. in Ventura, CA, where they have been registered since 2014, the year they entered the securities industry. They have passed the Series 65 (investment adviser) exam. They are registered to provide investment advice in California.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Crimson Insurance ServicesJan 2012 – Dec 2022Westlake Village, CA
- Topanga ReinsuranceJan 2012 – Dec 2022Westlake Village, CA
- Sherman Asset ManagementFeb 2014 – no end date reportedVentura, CA
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Sherman Asset Management, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Performance-based fees
- Estimated blended rate
- 0.0075
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Ventura, CA
- SEC file number:
- 801-129640
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 28, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Roy Douglas Sherman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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