G.W. SHERWOLD ASSOCIATES, INC.
Adviser information for G.W. SHERWOLD ASSOCIATES, INC. last updated from Form ADV on October 11th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JANUARY |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 792 | $125.8M |
| Non-Discretionary | 259 | $7.1M |
| Total | 1,051 | $133.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 333 | $129.7M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 5 | $3.3M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-118949 |
|---|---|
| SEC ERA File Number | 801-118949 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 42186 |
| Legal Entity Identifier | None |
Principal Office
22994 EL TORO RDLAKE FOREST
CA
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 949-470-0700, Fax: 949-470-0707
Websites
Chief Compliance Officer
GARY W. SHERWOLD
PRESIDENT
22994 EL TORO ROAD
LAKE FOREST
CA
United States
Tel:
949 470-0700
Fax:
949 470-0707
G***@*************M
(Full email address available in API data)
Regulatory Contact
GARY W. SHERWOLD
PRESIDENT
22994 EL TORO ROAD
LAKE FOREST
CA
United States
Tel:
949 470-0700
Fax:
949 470-0707
G***@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHERWOLD, GARY WILLIAM | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 04/1994 | > 75% |