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SFERMION

CHICAGO, IL · CRD 317207 · IAPD ↗ · 408-891-7991

$91.6MRegulatory AUM
4Advisory reps
5Employees
0Clients
n/aPlanning clients
3Private funds
0States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

45
May 2026 — SFERMION (CHICAGO, IL) left the SEC roster (was $91.6M RAUM, 4 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
80
July 2025 — SFERMION (CHICAGO, IL) is newly SEC-registered with $119.5M RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.