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RIA / WealthAdvisor19 years in industry

LESLIE ANN MANUEL GUTIERREZ

Advisor at CLIFFORD SWAN INVESTMENT COUNSELORS

PASADENA, CA

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Search this name across graphsid dfx:ria:ec13f337-52d8-80b8-f96d-977bf7cbcba4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 28, 2007 to Sep 14, 2026

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

Current firm: CLIFFORD SWAN INVESTMENT COUNSELORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 22, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 22, 2007
First registration: Jun 28, 2007
Dual registered: no
Other names: LESLIE ANN BAON MANUEL|LESLIE ANN MANUEL
IAPD individual key: 4997993

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CLIFFORD SWAN INVESTMENT COUNSELORS	Independent wealth	Apr 15, 2025	n/a	yes	PASADENA, CA	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 26, 2013	Apr 17, 2025	no	PASADENA, CA\|Duarte, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 5, 2012	Sep 16, 2013	no	BEVERLY HILLS, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 4, 2008	Oct 2, 2012	no	Los Angeles, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jun 28, 2007	Nov 12, 2008	no	LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	CLIFFORD SWAN INVESTMENT COUNSELORS	Apr 17, 2025	Apr 15, 2025	-2	Firm change	Wirehouse to RIA
WELLS FARGO ADVISORS	UBS FINANCIAL SERVICES INC.	Sep 16, 2013	Sep 26, 2013	10	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	WELLS FARGO ADVISORS	Oct 2, 2012	Oct 5, 2012	3	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Nov 12, 2008	Nov 4, 2008	-8	Firm change	Other

Relationships

Registered with (4)

→ CLIFFORD SWAN INVESTMENT COUNSELORSRegistered adviserregistration: current employment
Apr 15, 2025 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 26, 2013 to Apr 17, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 5, 2012 to Sep 16, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jun 28, 2007 to Nov 12, 2008factForm ADV

Dated events

Occurred
Apr 17, 2025
Advisor changed firm
Leslie Ann Manuel Gutierrez left Ubs Financial Services Inc. for Clifford Swan Investment Counselors (registered 2025-04-15)
Form ADVobserved 6 days ago