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Sherman Asset Management, Inc. — 13F Holdings & Portfolio

CIK 1736535 · latest 13F-HR filed 2026-11-05

Backtest portfolio

Sherman Asset Management, Inc. manages $134.3M in 13F-reported U.S. long-equity assets across 109 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are IVV (18.05%), VTI (13.80%), XLK (7.49%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 4 new positions and exited 31; 19 existing positions rose in reported value and 60 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$134.3M

Long-equity book

Holdings
109

Distinct positions

Period
2026-09-30

Filed 2026-11-05

Q/Q Activity
+4 / −31 / ↑19 / ↓60

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26
IVV18.1% · -0%VTI13.8% · -0%XLK7.5% · -7%IJR6.9% · -1%SCHO6.2% · +467%GOOGL3.4% · -6%BND3.0% · +2%AAPL3.0% · -5%SPSM2.6% · -0%CIBR2.5% · -0%HOOD2.1% · newMSFT1.9% · 0%BIL1.9% · +3%IJH1.9% · 0%SPDW1.8% · -0%TSM1.5% · 0%META1.5% · -15%FLOT1.4% · +569%VNQ1.3% · -12%VO1.3% · -4%LLY1.0% · +79%AMZN0.9% · 0%TSLA0.8% · 0%XLY0.8% · -29%V0.8% · +298%XLF0.7% · -25%SCHP0.7% · +0%VUG0.6% · +13%JPM0.6% · -10%DIA0.6% · newGS0.6% · +311%IWM0.6% · newESGV0.5% · -2%VEA0.5% · -10%XLV0.5% · -40%ESGD0.4% · 0%ESGU0.4% · +1%PLTR0.3% · +3087%COST0.3% · -29%WMT0.3% · -32%XBI0.3% · -0%NVDA0.3% · 0%MA0.2% · 0%WTAI0.2% · +0%SCHM0.2% · 0%SPYG0.2% · 0%FINX0.2% · 0%CMF0.2% · +11%VTV0.2% · -0%MCD0.2% · 0%QQQ0.1% · 0%SPTM0.1% · 0%XLC0.1% · -59%ESML0.1% · -2%VGT0.1% · -4%CRPT0.1% · 0%ORCL0.1% · -93%KO0.1% · -36%PANW0.1% · 0%XLRE0.1% · 0%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 66.9%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Sep 28, 2026.

Assets Under Management
$140.8M
Discretionary
$140.8M
Employees
1
Accounts
151
Address
1500 PALMA DR.
SUITE 133
VENTURA, CA 93003
Phone
(805) 530-5963
Website
Name Title / Status Ownership Type
SHERMAN, ROY, DOUGLAS ControlCEO AND CCO
since Feb 2014
75% or moreIndividual

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Sherman Asset Management, Inc. Holdings (2026-09-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 ISHARES CORE S&P 500 ETF IVV 464287200 $24.2M 18.05% 31,649 SH
2 VANGUARD MORNINGSTAR TOTAL STOCK MARKET ETF VTI 922908769 $18.5M 13.80% 49,501 SH
3 STATE STREET TECHNOLOGY SELECT SECTOR SPDR ETF XLK 81369Y803 $10.1M 7.49% 51,355 SH
4 ISHARES CORE S&P SMALL CAP ETF IJR 464287804 $9.2M 6.89% 67,988 SH
5 SCHWAB SHORT-TERM US TREASURY ETF SCHO 808524862 $8.4M 6.22% 350,112 SH
6 ALPHABET INC CAP STK CL A GOOGL 02079K305 $4.6M 3.39% 13,246 SH
7 VANGUARD TOTAL BOND MARKET ETF BND 921937835 $4.0M 3.00% 57,382 SH
8 APPLE INC COM AAPL 037833100 $4.0M 2.97% 11,981 SH
9 STATE STREET SPDR PORTFOLIO S&P 600 SMALL CAP ETF SPSM 78468R853 $3.5M 2.63% 66,809 SH
10 FIRST TRUST NASDAQ CYBERSECURITY ETF CIBR 33734X846 $3.4M 2.50% 32,561 SH
11 ROBINHOOD MKTS INC COM CL A HOOD 770700102 $2.9M 2.13% 25,470 SH
12 MICROSOFT CORP COM MSFT 594918104 $2.6M 1.95% 5,097 SH
13 STATE STREET SPDR BLOOMBERG 1-3 MONTH T-BILL ETF BIL 78468R663 $2.6M 1.93% 28,250 SH
14 ISHARES CORE S&P MID-CAP ETF IJH 464287507 $2.6M 1.91% 35,646 SH
15 STATE STREET SPDR PORTFOLIO DEVELOPED WORLD EX-US ETF SPDW 78463X889 $2.4M 1.81% 48,481 SH
16 TAIWAN SEMICONDUCTOR MANUFACT SPONSORED ADS TSM 874039100 $2.0M 1.52% 4,476 SH
17 META PLATFORMS INC CL A META 30303M102 $2.0M 1.47% 2,718 SH
18 ISHARES FLOATING RATE BOND ETF FLOT 46429B655 $1.9M 1.43% 37,611 SH
19 VANGUARD REAL ESTATE ETF VNQ 922908553 $1.8M 1.30% 19,529 SH
20 VANGUARD MORNINGSTAR MID-CAP ETF VO 922908629 $1.7M 1.27% 21,727 SH
21 ELI LILLY & CO COM LLY 532457108 $1.4M 1.01% 1,175 SH
22 AMAZON COM INC COM AMZN 023135106 $1.3M 0.94% 5,073 SH
23 TESLA INC COM TSLA 88160R101 $1.1M 0.85% 3,211 SH
24 STATE STREET CONSUMER DISCRETIONARY SELECT SECTOR SPDR ETF XLY 81369Y407 $1.1M 0.82% 10,155 SH
25 VISA INC COM CL A V 92826C839 $1.1M 0.80% 3,005 SH
26 STATE STREET FINANCIAL SELECT SECTOR SPDR ETF XLF 81369Y605 $929.0K 0.69% 17,397 SH
27 SCHWAB US TIPS ETF SCHP 808524870 $900.2K 0.67% 35,823 SH
28 VANGUARD MORNINGSTAR GROWTH ETF VUG 922908736 $856.0K 0.64% 9,499 SH
29 JPMORGAN CHASE & CO. COM JPM 46625H100 $827.1K 0.62% 2,500 SH
30 SPDR DOW JONES INDUSTRIAL AVERAGE ETF TRUST DIA 78467X109 $813.7K 0.61% 1,600 SH
31 GOLDMAN SACHS GROUP INC COM GS 38141G104 $810.3K 0.60% 900 SH
32 ISHARES RUSSELL 2000 ETF IWM 464287655 $805.9K 0.60% 2,900 SH
33 VANGUARD ESG U.S. STOCK ETF ESGV 921910733 $729.3K 0.54% 5,381 SH
34 VANGUARD FTSE DEVELOPED MARKETS ETF VEA 921943858 $669.1K 0.50% 9,475 SH
35 STATE STREET HEALTH CARE SELECT SECTOR SPDR ETF XLV 81369Y209 $658.9K 0.49% 3,912 SH
36 ISHARES ESG AWARE MSCI EAFE ETF ESGD 46435G516 $501.3K 0.37% 4,865 SH
37 ISHARES ESG AWARE MSCI USA ETF ESGU 46435G425 $487.1K 0.36% 2,920 SH
38 PALANTIR TECHNOLOGIES INC CL A PLTR 69608A108 $465.0K 0.35% 2,486 SH
39 COSTCO WHOLESALE CORPORATION COM COST 22160K105 $447.7K 0.33% 491 SH
40 WALMART INC COM WMT 931142103 $440.9K 0.33% 4,243 SH
41 STATE STREET SPDR S&P BIOTECH ETF XBI 78464A870 $416.0K 0.31% 2,638 SH
42 NVIDIA CORPORATION COM NVDA 67066G104 $353.1K 0.26% 1,546 SH
43 MASTERCARD INCORPORATED CL A MA 57636Q104 $326.4K 0.24% 591 SH
44 WISDOMTREE ARTIFICIAL INTELLIGENCE AND INNOVATION FUND WTAI 97717Y543 $314.0K 0.23% 7,188 SH
45 SCHWAB U.S. MID-CAP ETF SCHM 808524508 $298.8K 0.22% 8,784 SH
46 STATE STREET SPDR PORTFOLIO S&P 500 GROWTH ETF SPYG 78464A409 $288.5K 0.21% 2,344 SH
47 GLOBAL X FINTECH ETF FINX 37954Y814 $258.0K 0.19% 10,636 SH
48 ISHARES CALIFORNIA MUNI BOND ETF CMF 464288356 $224.7K 0.17% 4,151 SH
49 VANGUARD MORNINGSTAR VALUE ETF VTV 922908744 $218.3K 0.16% 1,010 SH
50 MCDONALDS CORP COM MCD 580135101 $207.1K 0.15% 896 SH
Filing History
Period Filed AUM Holdings Accession
2026-09-30 2026-11-05 $134.3M 109 0001736535-26-000006
2026-06-30 2026-08-05 $128.9M 136 0001736535-26-000004
2026-03-31 2026-05-05 $108.7M 154 0001736535-26-000003
2025-12-31 2026-02-05 $118.1M 144 0001736535-26-000001
Filer Information
Address
1500 PALMA DRIVE
SUITE 133
VENTURA, CA 93003
Phone
(805) 655-5062
Filing Manager
Sherman Asset Management, Inc.
VENTURA, CA
Signatory
Roy Sherman
CCO