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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

CLIFFORD SWAN INVESTMENT COUNSELORS

CLIFFORD SWAN INVESTMENT COUNSEL LLC, CRD 108033

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cec25176-8479-eccf-cb74-5bfc75229415

Data as of Feb 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 3
On other graphs: 0
Observed: Dec 5, 2011 to Feb 10, 2026
46 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.84 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $4.5BItem 5.F on the latest filing (2026-02-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.9B
Private client RAUM: $3.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 17
RAUM per advisor: $264Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 40
Advisory employees: 17
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,598
Individual clients: 296
High net worth clients: 588
Custody, client assets: $752M
SEC number: 801-56675
CIK: 1034642
CRD: 108033
Filings on the tape: 46
First filed: Dec 5, 2011
Latest filed: Feb 10, 2026
Organised: Limited Liability Company, CA

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PETER JAMES BOYLE	Chartered Financial Analyst	PASADENA, CA	27	31	n/a	no
KATHLEEN GILMORE	Certified Financial Planner	PASADENA, CA	23	23	n/a	no
ROGER LELAND (JR) GEWECKE	Chartered Financial Analyst	PASADENA, CA	11	18	n/a	no
GEORGE EDWARD HASBUN	Certified Financial Planner	PASADENA, CA	9	25	n/a	no
KEVIN JAMES CAVANAUGH	n/a	PASADENA, CA	6	15	n/a	no
Murcy Ya Ni Huang	Chartered Financial Analyst	PASADENA, CA	3	15	n/a	no
David Yi-Yen Lin	Chartered Financial Analyst	PASADENA, CA	1	10	1	no
LLOYD KATHARINE WONG	Chartered Financial Analyst	PASADENA, CA	1	18	n/a	no
RANDALL LEE ZAHARIA	Chartered Financial Analyst	PASADENA, CA	1	25	n/a	no
LESLIE ANN MANUEL GUTIERREZ	n/a	PASADENA, CA	1	19	4	no
Raymundo Flores	n/a	PASADENA, CA	1	11	1	no
BILLY J.H. YEH	n/a	PASADENA, CA	1	18	1	no
ELLIOTT CURTIS HOLLINGSWORTH	n/a	PASADENA, CA	1	25	5	no
Austin Highsmith Gewecke	Chartered Financial Analyst	PASADENA, CA	1	12	n/a	no
MAXWELL RAMSEY PRAY	Chartered Financial Analyst	PASADENA, CA	0	22	1	no
Raymond Gilbert Torres	Certified Financial Planner	PASADENA, CA	0	10	n/a	no
CHARLOTTE CHEIM ANTEN	Chartered Financial Analyst	PASADENA, CA	0	37	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ADLER, RICHARD, HOWARD	Director	Na	yes	12/2015	Feb 10, 2026	Feb 10, 2026
BOYLE, PETER, JAMES	CEO & DIRECTOR	B	yes	07/2020	Feb 10, 2026	Feb 10, 2026
GEWECKE, ROGER, LELAND (JR)	Director	B	yes	01/2015	Feb 10, 2026	Feb 10, 2026
GILMORE, KATHLEEN	CHAIRMAN & PRESIDENT	B	yes	07/2020	Feb 10, 2026	Feb 10, 2026
PRAY, MAXWELL, RAMSEY	Director	B	yes	01/2011	Feb 10, 2026	Feb 10, 2026
CAVANAUGH, KEVIN, JAMES	Member	B	no	12/2015	Feb 10, 2026	Feb 10, 2026
LEE, GRETCHEN, ELIZABETH	CHIEF COMPLIANCE OFFICER	Na	no	01/2019	Feb 10, 2026	Feb 10, 2026
NELSON, DAVID, JOSEPH	CHIEF OPERATING OFFICER	Na	no	01/2023	Feb 10, 2026	Feb 10, 2026
ZAHARIA, RANDALL, LEE	Member	A	no	12/2015	Feb 10, 2026	Feb 10, 2026

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 10, 2026	$4.5B	$3.9B	40	17	0	n/a	n/a
2024	Apr 1, 2025	$4.1B	$3.6B	33	15	0	n/a	n/a
2023	Mar 27, 2024	$3.8B	$3.3B	31	14	1	n/a	n/a
2022	Mar 24, 2023	$3.6B	$3.1B	31	14	1	n/a	n/a
2021	Mar 22, 2022	$4.2B	$3.5B	30	14	1	n/a	n/a
2020	Mar 22, 2021	$3.5B	$2.9B	29	13	1	n/a	n/a
2019	Mar 24, 2020	$3.3B	$2.6B	28	12	1	n/a	n/a
2018	Mar 28, 2019	$2.8B	$2.2B	28	12	1	n/a	n/a
2017	Mar 7, 2018	$2.9B	$2.2B	25	11	1	n/a	n/a
2016	Feb 17, 2017	$2.5B	$1.9B	28	12	n/a	n/a	n/a
2015	Feb 10, 2016	$2.4B	$1.9B	31	16	n/a	n/a	n/a
2014	Mar 20, 2015	$2.5B	$2.0B	32	14	n/a	n/a	n/a
2013	Mar 20, 2014	$2.3B	$1.8B	32	15	n/a	n/a	n/a
2012	Mar 19, 2013	$2.0B	$1.5B	32	15	n/a	n/a	n/a
2011	Mar 19, 2012	$1.8B	$1.3B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	5.9%	0	0	0	6	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$4.5B	$4.1B	8.2%	$3.6B	7.3%	40	33	0	0

Relationships

Registered with (20)

← CHARLOTTE CHEIM ANTENAdvisorregistration: current employment
Mar 23, 2026 to presentfactForm ADV
← Raymond Gilbert TorresAdvisorregistration: current employment
Feb 10, 2026 to presentfactForm ADV
← MAXWELL RAMSEY PRAYAdvisorregistration: current employment
Jan 6, 2026 to presentfactForm ADV
← ELLIOTT CURTIS HOLLINGSWORTHAdvisorregistration: current employment
Sep 5, 2025 to presentfactForm ADV
← Austin Highsmith GeweckeAdvisorregistration: current employment
Sep 5, 2025 to presentfactForm ADV
← BILLY J.H. YEHAdvisorregistration: current employment
Jul 9, 2025 to presentfactForm ADV
← Raymundo FloresAdvisorregistration: current employment
Jun 30, 2025 to presentfactForm ADV
← LESLIE ANN MANUEL GUTIERREZAdvisorregistration: current employment
Apr 15, 2025 to presentfactForm ADV
← LLOYD KATHARINE WONGAdvisorregistration: current employment
Jan 3, 2025 to presentfactForm ADV
← RANDALL LEE ZAHARIAAdvisorregistration: current employment
Jan 3, 2025 to presentfactForm ADV
← David Yi-Yen LinAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Murcy Ya Ni HuangAdvisorregistration: current employment
Jan 9, 2023 to presentfactForm ADV
← KEVIN JAMES CAVANAUGHAdvisorregistration: current employment
Feb 25, 2020 to presentfactForm ADV
← GEORGE EDWARD HASBUNAdvisorregistration: current employment
Apr 10, 2017 to presentfactForm ADV
← ROGER LELAND (JR) GEWECKEAdvisorregistration: current employment
Nov 13, 2014 to presentfactForm ADV
← KATHLEEN GILMOREAdvisorregistration: current employment
Oct 24, 2002 to presentfactForm ADV
← PETER JAMES BOYLEAdvisorregistration: current employment
Jul 27, 1999 to presentfactForm ADV
← CARLOTA BJORK VENEGASAdvisorregistration: previous registration
May 8, 2020 to Mar 6, 2026factForm ADV
← Erica Shelare WhiteAdvisorregistration: previous registration
Oct 26, 2015 to Jun 13, 2022factForm ADV
← STEPHEN DAVID ANDREWAdvisorregistration: previous registration
Sep 14, 1999 to Sep 23, 2013factForm ADV

Affiliated with (1)

← CITY NATIONAL ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (5)

← GEWECKE, ROGER, LELAND (JR)OwnerDIRECTOR, ownership code B, individual
Mar 20, 2015 to Sep 26, 2024factForm ADV
← ADLER, RICHARD, HOWARDOwnerDIRECTOR, ownership code NA, individual
Dec 5, 2011 to Sep 26, 2024factForm ADV
← BOYLE, PETER, JAMESOwnerCEO & DIRECTOR, ownership code B, individual
Dec 5, 2011 to Sep 26, 2024factForm ADV
← PRAY, MAXWELL, RAMSEYOwnerDIRECTOR, ownership code B, individual
Dec 5, 2011 to Sep 26, 2024factForm ADV
← GILMORE, KATHLEENOwnerCHAIRMAN & PRESIDENT, ownership code B, individual
Dec 14, 2015 to Sep 26, 2024factForm ADV

Owns (4)

← LEE, GRETCHEN, ELIZABETHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2019 to Sep 26, 2024factForm ADV
← ZAHARIA, RANDALL, LEEOwnerMEMBER, ownership code B, individual
Dec 14, 2015 to Sep 26, 2024factForm ADV
← NELSON, DAVID, JOSEPHOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 24, 2023 to Sep 26, 2024factForm ADV
← CAVANAUGH, KEVIN, JAMESOwnerMEMBER, ownership code B, individual
Dec 14, 2015 to Sep 26, 2024factForm ADV

Dated events

Occurred
Mar 6, 2026
Advisor changed firm
Carlota Bjork Venegas left Clifford Swan Investment Counselors for Raven Wealth Advisors (registered 2026-03-06)
Form ADVobserved 3 days ago
Occurred
Jun 13, 2022
Advisor changed firm
Erica Shelare White left Clifford Swan Investment Counselors for J.P. Morgan Securities Llc (registered 2022-08-09)
Form ADVobserved 3 days ago
Occurred
Jul 27, 2020
Control person left
Davis Linda Taylor (Chairman & Ceo) no longer on Schedule A of Clifford Swan Investment Counselors (listed 2020-06-30, absent 2020-07-27)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cec25176-8479-eccf-cb74-5bfc75229415
First observed: Dec 5, 2011
Last observed: Feb 10, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CLIFFORD SWAN INVESTMENT COUNSELORS

CLIFFORD SWAN INVESTMENT COUNSEL LLC, CRD 108033

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cec25176-8479-eccf-cb74-5bfc75229415

Data as of Feb 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:36 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PETER JAMES BOYLE

Chartered Financial Analyst

PASADENA, CA

n/a

KATHLEEN GILMORE

Certified Financial Planner

PASADENA, CA

n/a

ROGER LELAND (JR) GEWECKE

Chartered Financial Analyst

PASADENA, CA

n/a

GEORGE EDWARD HASBUN

Certified Financial Planner

PASADENA, CA

n/a

KEVIN JAMES CAVANAUGH

n/a

PASADENA, CA

n/a

Murcy Ya Ni Huang

Chartered Financial Analyst

PASADENA, CA

n/a

David Yi-Yen Lin

Chartered Financial Analyst

PASADENA, CA

LLOYD KATHARINE WONG

Chartered Financial Analyst

PASADENA, CA

n/a

RANDALL LEE ZAHARIA

Chartered Financial Analyst

PASADENA, CA

n/a

LESLIE ANN MANUEL GUTIERREZ

n/a

PASADENA, CA

Raymundo Flores

n/a

PASADENA, CA

BILLY J.H. YEH

n/a

PASADENA, CA

ELLIOTT CURTIS HOLLINGSWORTH

n/a

PASADENA, CA

Austin Highsmith Gewecke

Chartered Financial Analyst

PASADENA, CA

n/a

MAXWELL RAMSEY PRAY

Chartered Financial Analyst

PASADENA, CA

Raymond Gilbert Torres

Certified Financial Planner

PASADENA, CA

n/a

CHARLOTTE CHEIM ANTEN

Chartered Financial Analyst

PASADENA, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADLER, RICHARD, HOWARD

Director

yes

12/2015

Feb 10, 2026

BOYLE, PETER, JAMES

CEO & DIRECTOR

yes

07/2020

Feb 10, 2026

GEWECKE, ROGER, LELAND (JR)

Director

yes

01/2015

Feb 10, 2026

GILMORE, KATHLEEN

CHAIRMAN & PRESIDENT

yes

07/2020

Feb 10, 2026

PRAY, MAXWELL, RAMSEY

Director

yes

01/2011

Feb 10, 2026

CAVANAUGH, KEVIN, JAMES

Member

12/2015

Feb 10, 2026

LEE, GRETCHEN, ELIZABETH

CHIEF COMPLIANCE OFFICER

01/2019

Feb 10, 2026

NELSON, DAVID, JOSEPH

CHIEF OPERATING OFFICER

01/2023

Feb 10, 2026

ZAHARIA, RANDALL, LEE

Member

12/2015

Feb 10, 2026

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 10, 2026

$4.5B

$3.9B

n/a

2024

Apr 1, 2025

$4.1B

$3.6B

n/a

2023

Mar 27, 2024

$3.8B

$3.3B

n/a

2022

Mar 24, 2023

$3.6B

$3.1B

n/a

2021

Mar 22, 2022

$4.2B

$3.5B

n/a

2020

Mar 22, 2021

$3.5B

$2.9B

n/a

2019

Mar 24, 2020

$3.3B

$2.6B

n/a

2018

Mar 28, 2019

$2.8B

$2.2B

n/a

2017

Mar 7, 2018

$2.9B

$2.2B

n/a

2016

Feb 17, 2017

$2.5B

$1.9B

n/a

2015

Feb 10, 2016

$2.4B

$1.9B

n/a

2014

Mar 20, 2015

$2.5B

$2.0B

n/a

2013

Mar 20, 2014

$2.3B

$1.8B

n/a

2012

Mar 19, 2013

$2.0B

$1.5B

n/a

2011

Mar 19, 2012

$1.8B

$1.3B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

5.9%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$4.5B

$4.1B

8.2%

$3.6B

7.3%