DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sierra Investment Management, LLC
Latest filing Jul 15, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Dec 23, 1992
RAUM
$361M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$335M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$72.2M
derived; firm RAUM over IAPD count
Employees
34
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$361M as of Jul 15, 2026
Mar 30, 2012$663M then
HNW client RAUM$259M as of Jul 15, 2026
Mar 28, 2018$437M then
State-registered IARs (5.B.3)6 as of Jul 15, 2026
Mar 26, 20136 then
Employees (5.A)34 as of Jul 15, 2026
Mar 26, 201315 then
Private funds: no history
RAUM -6.3% over the last fiscal year-4.6% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $72.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $475,493derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $227M, 213 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$259M74%
- Individuals$75.7M22%
- Pension and profit-sharing plans$12.3M3.5%
- Corporations and businesses$2.1M0.6%
- Charitable organizations$712,7900.2%
- Individual clients
- 193reported
- HNW clients
- 101reported
- Pension plan clients
- 7reported
- Charitable clients
- 1reported
- Accounts
- 759reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $227M for 213 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Chandler Wright | Santa Monica, Ca | May 23, 2003 | 36 y | 2 |
| Kenneth Lee Sleeper | Santa Monica, Ca | May 28, 2003 | 36 y | 2 |
| Gira Patel | Santa Monica, Ca | Nov 4, 2015 | 11 y | 0 |
| Nathan Henry Brummel | Santa Monica, Ca | Oct 18, 2023 | 10 y | 1 |
| Marshall Quan | Santa Monica, Ca | Nov 4, 2024 | 27 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Bruk A Campbell to Ocean Park Asset Management, Inc.Dec 23, 2024 · RIA to RIA
- Stanley Scott Schiewe to Avantax Advisory ServicesFeb 7, 2023 · RIA to affiliated broker-dealer or bank
- Adam Jaros to Fidelity Personal And Workplace AdvisorsJan 3, 2023 · RIA to affiliated broker-dealer or bank
- Christopher Shawn Wilson to Atlanta Consulting Group Advisors, LLCAug 8, 2022 · Other
- Robert Petrosyan to PotomacNov 4, 2021 · Other
- Alexander Gordon Ward to Raymond James Financial Services Advisors, IncMar 29, 2021 · RIA to affiliated broker-dealer or bank
- Theresa Frances Spath to Ocean Park Asset Management, LLCFeb 1, 2021 · Other
- Matthew Edwin Parkhurst to Counterpoint Asset Management LLCMar 2, 2017 · Other
- Daniel Wendell Krause to Counterpoint Asset Management LLCFeb 20, 2015 · Other
- Thea Rae Lewis to Capital Client Group, Inc.Jul 11, 2014 · Other
Joined, latest
- Marshall Quan from Ocean Park Asset Management, Inc.Nov 4, 2024 · RIA to RIA
- Bruk A Campbell from Winters Financial Group, Inc.Apr 4, 2024 · RIA to RIA
- Nathan Henry Brummel from Charles Schwab & Co., Inc.Oct 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- Adam Jaros from Td Ameritrade Investment Management, LLCJun 24, 2021 · RIA to RIA
- Robert Petrosyan from On Investment Management CoAug 12, 2020 · Affiliated broker-dealer or bank to independent RIA
- Stanley Scott Schiewe from Raymond James Financial Services, Inc.Oct 12, 2018 · Other
- Christopher Shawn Wilson from Russell InvestmentsAug 28, 2018 · Other
- Matthew Edwin Parkhurst from Invesco Advisers, Inc.Jan 6, 2017 · Other
- Thomas Giardino from Pacific Financial Group, LLCJul 18, 2016 · Other
- Alexander Gordon Ward from New York Life Investment Management LLCMay 11, 2016 · Other
- Samar Farhangi from Vertical Capital Asset Management, LLCDec 8, 2015 · Other
- Colin Theodore Barber from Ast Investment Services, Inc.Nov 18, 2015 · Other
- William Francis Phillips III from New York Life Investment Management LLCOct 7, 2015 · Other
- Jason Grant Buck from Eagle Strategies LLCSep 28, 2015 · Other
- Theresa Frances Spath from Mercer Global Advisors Inc.Sep 1, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Ocean Park Asset Management, Inc.Dec 24, 2024 · Santa Monica, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Annalisa Donati · Chief Financial Officercontrolsince 07/2024 · owns less than 5%
- Andreas Ryan Harder · Chief Investment Strategistcontrolsince 07/2022 · owns less than 5%
- Winfield Erik Morris · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- George Albert Schweiss · Chief Executive Officercontrolsince 10/2021 · owns less than 5%
- Lee Kenneth Sleeper · Sr. Vice President/Directorcontrolsince 09/1992 · owns less than 5%
- Edwin James Staubin · Chief Investment Officercontrolsince 07/2022 · owns less than 5%
- Janel Kristine Stromeyer · Chief Operating Officercontrolsince 01/2016 · owns less than 5%
- Chandler David Wright · Presidentcontrolsince 10/1992 · owns less than 5%
- Lee Kenneth Sleeper · Ownercontrolsince 10/1989 · owns 50% to 75% of Ocean Park Asset Management, Inc
- Chandler David Wright · Ownercontrolsince 10/1989 · owns 50% to 75% of Ocean Park Asset Management, Inc
- Sarina Vanda Freesman · Chief Marketing Officersince 11/2019 · owns less than 5%
Entity owners
- Sierra Investments Group, LLC · Ownerdirect · owns 75% or more
- Ocean Park Asset Management, Inc · Ownerindirect · owns 50% to 75% of Sierra Investments Holdings, LLC
- Sierra Investments Holdings, LLC · Ownerindirect · owns 75% or more of Sierra Investments Group, LLC
Related persons
Schedule D 7.A
- Ocean Park Asset Management, Inc.investment advisernRAUM $147M
- Ocean Park Asset Management, LLCinvestment advisernRAUM $3.9B
Advisers that list Sierra Investment Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Monica, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Jul 15, 2026employees per registered advisor of 6.8 against a peer median of 1.2 (1313 comparable advisers, 100.0th percentile, 18.9 robust deviations)peers: independent wealth managers, $100M to $500M (1,313) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 832 to 759Dec 5, 2025 to Mar 31, 2026
- BD registered reps · 1 to 2Dec 5, 2025 to Mar 31, 2026
- Charity clients · 2 to 1Dec 5, 2025 to Mar 31, 2026
- Corporate clients · 4 to 3Dec 5, 2025 to Mar 31, 2026
- HNW clients · 98 to 101Dec 5, 2025 to Mar 31, 2026
- Individual clients · 234 to 193Dec 5, 2025 to Mar 31, 2026
- Pension plan clients · 9 to 7Dec 5, 2025 to Mar 31, 2026
- Assets in custody · $232M to $227MDec 5, 2025 to Mar 31, 2026
- Employees · 31 to 34Dec 5, 2025 to Mar 31, 2026
- Insurance-licensed employees · 3 to 6Dec 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $385M to $361MDec 5, 2025 to Mar 31, 2026
- HNW RAUM · $258M to $259MDec 5, 2025 to Mar 31, 2026
- Individual RAUM · $90.5M to $75.7MDec 5, 2025 to Mar 31, 2026
- Pension RAUM · $16.0M to $12.3MDec 5, 2025 to Mar 31, 2026
- RAUM · $385M to $361MDec 5, 2025 to Mar 31, 2026
- Accounts · 900 to 832Oct 7, 2024 to Mar 31, 2025
- Advisory employees · 9 to 8Oct 7, 2024 to Mar 31, 2025
- Corporate clients · 7 to 4Oct 7, 2024 to Mar 31, 2025
- HNW clients · 96 to 98Oct 7, 2024 to Mar 31, 2025
- Individual clients · 255 to 234Oct 7, 2024 to Mar 31, 2025
- Pension plan clients · 8 to 9Oct 7, 2024 to Mar 31, 2025
- Assets in custody · $147M to $232MOct 7, 2024 to Mar 31, 2025
- Insurance-licensed employees · 5 to 3Oct 7, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Oct 7, 2024 to Mar 31, 2025
- Discretionary RAUM · $388M to $385MOct 7, 2024 to Mar 31, 2025
- HNW RAUM · $264M to $258MOct 7, 2024 to Mar 31, 2025
- Individual RAUM · $86.8M to $90.5MOct 7, 2024 to Mar 31, 2025
- Pension RAUM · $14.6M to $16.0MOct 7, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · unset to 0.0Oct 7, 2024 to Mar 31, 2025
- RAUM · $388M to $385MOct 7, 2024 to Mar 31, 2025
- Business name · SIERRA INVESTMENT MANAGEMENT INC to SIERRA INVESTMENT MANAGEMENT, LLCOct 1, 2024 to Oct 7, 2024
- BD registered reps · 25 to 1Sep 6, 2024 to Oct 1, 2024
- Employees · 51 to 31Sep 6, 2024 to Oct 1, 2024
- Insurance-licensed employees · 3 to 5Sep 6, 2024 to Oct 1, 2024
- State-registered IARs · 12 to 6Sep 6, 2024 to Oct 1, 2024
- Organization form · Corporation to Limited Liability CompanySep 6, 2024 to Oct 1, 2024
- Succession · false to trueSep 6, 2024 to Oct 1, 2024
- Legal name · SIERRA INVESTMENT MANAGEMENT INC to SIERRA INVESTMENT MANAGEMENT, LLCOct 1, 2024 to Oct 1, 2024
- Succession · true to falseOct 1, 2024 to Oct 1, 2024
- Accounts · 996 to 900Sep 26, 2023 to Mar 30, 2024
Signals
16 dated events
- Ocean Park Asset Management, Inc.'s advisors moved to Sierra Investment Management, LLC (Santa Monica, CA): 3 of 5 registered, on the same dayDec 24, 2024 · Firm absorbed (people side) · derived
- Bruk A Campbell left Sierra Investment Management, Llc for Ocean Park Asset Management, Inc. (registered 2024-04-04)Dec 23, 2024 · Advisor changed firm · fact
- Sierra Investment Management Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 1, 2024 · Succession (Item 4) · fact
- Annalisa Donati (Chief Financial Officer) appeared on Schedule A of Sierra Investment Management, LlcOct 1, 2024 · Control person joined · fact
- Andrew Douglas Loeffler (Executive Vice-President Investment Management) no longer on Schedule A of Sierra Investment Management, Llc (listed 2024-07-26, absent 2024-09-06)Sep 6, 2024 · Control person left · inference
- Sierra Investment Management, Llc reported 12 state-registered advisory representatives, down from 22 (2023-09-26 to 2024-03-30)Mar 30, 2024 · Advisor headcount change · derived
- Edwin James Staubin (Chief Investment Officer) appeared on Schedule A of Sierra Investment Management, LlcMar 30, 2024 · Control person joined · fact
- Andreas Ryan Harder (Chief Investment Strategist) appeared on Schedule A of Sierra Investment Management, LlcMar 30, 2024 · Control person joined · fact
- Winfield Erik Morris (Chief Compliance Officer) appeared on Schedule A of Sierra Investment Management, LlcSep 26, 2023 · Control person joined · fact
- Stanley Scott Schiewe left Sierra Investment Management, Llc for Avantax Advisory Services (registered 2022-11-02)Feb 7, 2023 · Advisor changed firm · fact
- Adam Jaros left Sierra Investment Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-04-27)Jan 3, 2023 · Advisor changed firm · fact
- Christopher Shawn Wilson left Sierra Investment Management, Llc for Atlanta Consulting Group Advisors, Llc (registered 2023-07-21)Aug 8, 2022 · Advisor changed firm · fact
- George Albert Schweiss (Chief Executive Officer) appeared on Schedule A of Sierra Investment Management, LlcNov 4, 2021 · Control person joined · fact
- Andrew Douglas Loeffler (Executive Vice-President Investment Management) appeared on Schedule A of Sierra Investment Management, LlcMar 30, 2021 · Control person joined · fact
- Frances Theresa Spath (Chief Investment Officer/Portfolio Manager) no longer on Schedule A of Sierra Investment Management, Llc (listed 2020-06-19, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Sierra Investment Management, Llc reported 26 state-registered advisory representatives, up from 16 (2019-03-28 to 2020-03-31)Mar 31, 2020 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 310-452-1887reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sierra-investment-management/posts/?feereportedpublic record, Form ADV, Sep 17, 2026
- Website
- SIERRAINVESTMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-452-1887reportedpublic record, Form ADV, Jul 15, 2026
- Contact form
- sierrainvestment.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sierrainvestment.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $72.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026