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Managing Member, Founder, Chief Operations Officer & Chief Compliance Officer · M4a3 LLC

Mandi M. Sherman

CRD 8070922 · Named on Form ADV at one SEC-registered adviser

At a glance

M4a3 LLC, an SEC-registered wealth manager based in Boulder, CO with $322 million in regulatory assets, lists Mandi M. Sherman on its Form ADV as Managing Member, Founder, Chief Operations Officer & Chief Compliance Officer, a control person.

Firms and roles

  • M4a3 LLCManaging Member, Founder, Chief Operations Officer & Chief Compliance OfficerWealth manager · Boulder, CO · $322M in regulatory assets

AtlasMembers

Mandi’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Mandi’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.