SourcingSourcing

M4A3 LLC

B51
CRD 336172·SEC 801-132765·BOULDER, CO
AUM
$322.0M
$100M-$500M
Est. Revenue
$3.2M
@ 1% on AUM
Est. EBITDA
$966K
@ 30% margin
Est. Deal Value
$7.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
M4A3 LLC
CRD
336172
SEC file #
801-132765
EIN
411927493
DBA names
—

Economics

AUM
$322.0M
AUM band
$100M-$500M
AUM trajectory
'25'26
$317.3M → $322.0M▲ +1%
Client mix
Individuals High Net Worth60
Pooled Investment Vehicles5

Operations

Employees (total)
6
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'25'26
2 advisors → 3 advisors▲ +50%
Primary office
BOULDER CO
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
m4a3.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
Sherman, Mandi, Michelle
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
Sherman, Mandi, Michelle
SHERMAN, MICHAEL, JOHN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
M4A3.COM
Rdap Domain Creation Date
2007-04-25T05:48:50Z
Rdap Firm Age Years
19
Rdap Firm Age Band
10-20y
Rdap Registrar
Squarespace Domains LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0002133104
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2026-05-05
Edgar Last Filing Date
2026-05-05
Edgar Form D Count
1
Edgar Form D Offerings
2026-05-052026-05-05 · 0002133104-26-000001

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3746
Soi Zip Pct 200k Plus
0.2043
Soi Zip Returns 200k Plus
1980
Soi Zip Total AGI
2,157,971
Fdic Zip Total Deposits
76,415,082,000
Fdic Zip Branch Count
636
Fdic Zip Top Banks
Wells Fargo Bank, National Association
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (27)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
Pershing4
E*trade4
Edgar Addresses
Mailing
820 PEARL STREET, SUITE FBOULDER, CO 80302
Business
820 PEARL STREET, SUITE FBOULDER, CO 80302
Edgar EIN
411927493
Edgar Recent Filings
D2026-05-05 · 0002133104-26-000001
Fdic Zip Branches Raw
Bank One, Boulder, National AssociationBoulder, CO
Bank One, Boulder, National AssociationBoulder, CO
Fdic Zip HHI
1070.59
Fdic Zip Top Bank Share Pct
26.48
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-04-25T05:48:50Z
Rdap Domain Last Changed
2025-05-06T21:28:34Z
Rdap Nameservers
Ns1.bdm.microsoftonline.comNs2.bdm.microsoftonline.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI29,958
Returns2,680
Stub 2
AGI60,550
Returns1,650
Stub 3
AGI60,937
Returns990
Soi Zip Total Business Income
61,657
Soi Zip Total Cap Gains
647,536
Soi Zip Total Dividends
128,547
Soi Zip Total Returns
9,690
Top Owner CRD
8070922
Trust Company Affiliate
No

People (2)

2
Sherman, Mandi, Michelle
Direct Owner · 62.5%
8070922
SHERMAN, MICHAEL, JOHN
IAR · Direct Owner · 37.5%
2286858