# Sherwood Financial Management

> Sherwood Financial Management is a state-registered investment advisory firm in Wi, NY, registered since 2019, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 13, 2026.

- CRD: 305997
- Filed as: SHERWOOD FINANCIAL MANAGEMENT
- Legal name: Sherwood, Tracy L
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Wi, NY
- Filing period: October 2026
- Form ADV filing dated: March 13, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/305997
- AdvisorCensus page: https://advisorcensus.com/firm/sherwood-financial-management-wi-ny-305997

## Quick answers

**How is Sherwood Financial Management compensated?**
On its Form ADV (Item 5.E, October 2026), Sherwood Financial Management reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Sherwood Financial Management located?**
Sherwood Financial Management's principal office is in Wi, NY, according to its Form ADV.

**Is Sherwood Financial Management registered with the SEC or a state?**
Sherwood Financial Management is a state-registered investment advisory firm, registered since 2019. Status as filed: APPROVED. CRD 305997.

**How much does Sherwood Financial Management manage?**
Sherwood Financial Management reports $23,904,903 in regulatory assets under management in its Form ADV filing dated March 13, 2026 (0% discretionary).

**What types of clients does Sherwood Financial Management serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (12); individuals (other than high net worth individuals) (5).

**Does Sherwood Financial Management report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/305997

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $23,904,903
- Discretionary: $0
- Non-discretionary: $23,904,903

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 5 | $2,023,851 |
| High net worth individuals | 12 | $21,881,052 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2019 (6 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- sherwoodfinancialmanagement.com
- LinkedIn @tracysherwood
- X @TracyLSherwood

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sherwood Financial Management (CRD 305997): Form ADV filing data as of October 2026.