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
Clifford Swan Investment Counselors
Legal name Clifford Swan Investment Counsel LLC
Latest filing Feb 10, 2026
First filing on the tape Dec 5, 2011 · 46 filings
SEC status approved since Jul 27, 1999
RAUM
$4.5B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
84%
$3.8B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$264M
derived; firm RAUM over IAPD count
Employees
40
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$4.5B as of Feb 10, 2026
Mar 19, 2012$1.8B then
HNW client RAUM$3.7B as of Feb 10, 2026
Mar 7, 2018$2.3B then
State-registered IARs (5.B.3)17 as of Feb 10, 2026
Mar 19, 201315 then
Employees (5.A)40 as of Feb 10, 2026
Mar 19, 201332 then
Private funds: no history
RAUM +8.2% over the last fiscal year+7.3% a year over threeIARs 12 to 17
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $264MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 17.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +42%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $752M, 159 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$3.7B82%
- Charitable organizations$533M12%
- Corporations and businesses$177M3.9%
- Individuals$113M2.5%
- Individual clients
- 296reported
- HNW clients
- 588reported
- Pension plan clients
- n/areported
- Charitable clients
- 62reported
- Accounts
- 2,598reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $752M for 159 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter James BoyleChartered Financial Analyst | Pasadena, Ca | Jul 27, 1999 | 31 y | 0 |
| Kathleen GilmoreCertified Financial Planner | Pasadena, Ca | Oct 24, 2002 | 23 y | 0 |
| Roger Leland (Jr) GeweckeChartered Financial Analyst | Pasadena, Ca | Nov 13, 2014 | 18 y | 0 |
| George Edward HasbunCertified Financial Planner | Pasadena, Ca | Apr 10, 2017 | 25 y | 0 |
| Kevin James Cavanaugh | Pasadena, Ca | Feb 25, 2020 | 15 y | 0 |
| Murcy Ya Ni HuangChartered Financial Analyst | Pasadena, Ca | Jan 9, 2023 | 15 y | 0 |
| David Yi-Yen LinChartered Financial Analyst | Pasadena, Ca | Jan 1, 2025 | 10 y | 1 |
| Lloyd Katharine WongChartered Financial Analyst | Pasadena, Ca | Jan 3, 2025 | 18 y | 0 |
| Randall Lee ZahariaChartered Financial Analyst | Pasadena, Ca | Jan 3, 2025 | 25 y | 0 |
| Leslie Ann Manuel Gutierrez | Pasadena, Ca | Apr 15, 2025 | 19 y | 4 |
| Raymundo Flores | Pasadena, Ca | Jun 30, 2025 | 11 y | 1 |
| Billy J.H. Yeh | Pasadena, Ca | Jul 9, 2025 | 18 y | 1 |
| Austin Highsmith GeweckeChartered Financial Analyst | Pasadena, Ca | Sep 5, 2025 | 12 y | 0 |
| Elliott Curtis Hollingsworth | Pasadena, Ca | Sep 5, 2025 | 25 y | 5 |
| Maxwell Ramsey PrayChartered Financial Analyst | Pasadena, Ca | Jan 6, 2026 | 22 y | 1 |
| Raymond Gilbert TorresCertified Financial Planner | Pasadena, Ca | Feb 10, 2026 | 10 y | 0 |
| Charlotte Cheim AntenChartered Financial Analyst | Pasadena, Ca | Mar 23, 2026 | 37 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount1 left over 36 months
Left, latest
- Carlota Bjork Venegas to Raven Wealth AdvisorsMar 6, 2026 · RIA to a state-registered adviser
- Erica Shelare White to J.P. Morgan Securities LLCJun 13, 2022 · RIA to wirehouse
Joined, latest
- Maxwell Ramsey Pray from Philip V. Swan Associates, LLCJan 6, 2026 · Other
- Elliott Curtis Hollingsworth from The Mather Group, LLCSep 5, 2025 · RIA to RIA
- Billy J.H. Yeh from Steelpeak Wealth, LLCJul 9, 2025 · RIA to RIA
- Raymundo Flores from RBC Securities, Inc.Jun 30, 2025 · RIA to RIA
- Leslie Ann Manuel Gutierrez from UBS Financial Services Inc.Apr 15, 2025 · Wirehouse to independent RIA
- David Yi-Yen Lin from Clear Shore Group LLCJan 1, 2025 · Other
- Carlota Bjork Venegas from Ameriprise Financial Services, LLCMay 8, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Howard Richard Adler · Directorcontrolsince 12/2015 · owns less than 5%
- James Peter Boyle · Ceo & Directorcontrolsince 07/2020 · owns 10% to 25%
- Leland (Jr) Roger Gewecke · Directorcontrolsince 01/2015 · owns 10% to 25%
- Kathleen Gilmore · Chairman & Presidentcontrolsince 07/2020 · owns 10% to 25%
- Ramsey Maxwell Pray · Directorcontrolsince 01/2011 · owns 10% to 25%
- James Kevin Cavanaugh · Membersince 12/2015 · owns 10% to 25%
- Elizabeth Gretchen Lee · Chief Compliance Officersince 01/2019 · owns less than 5%
- Joseph David Nelson · Chief Operating Officersince 01/2023 · owns less than 5%
- Lee Randall Zaharia · Membersince 12/2015 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Clifford Swan Investment Counselors as a related person
- 111759 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 17 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,522 to 2,598Oct 27, 2025 to Feb 10, 2026
- Advisory employees · 15 to 17Oct 27, 2025 to Feb 10, 2026
- HNW clients · 537 to 588Oct 27, 2025 to Feb 10, 2026
- Individual clients · 315 to 296Oct 27, 2025 to Feb 10, 2026
- Assets in custody · $721M to $752MOct 27, 2025 to Feb 10, 2026
- Employees · 33 to 40Oct 27, 2025 to Feb 10, 2026
- State-registered IARs · 12 to 17Oct 27, 2025 to Feb 10, 2026
- Discretionary RAUM · $3.6B to $3.9BOct 27, 2025 to Feb 10, 2026
- HNW RAUM · $3.3B to $3.7BOct 27, 2025 to Feb 10, 2026
- Individual RAUM · $179M to $113MOct 27, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $533M to $557MOct 27, 2025 to Feb 10, 2026
- RAUM · $4.1B to $4.5BOct 27, 2025 to Feb 10, 2026
- Financial planning clients · 101-250 to 101-250Apr 1, 2025 to Jul 18, 2025
- Accounts · 2,531 to 2,522Sep 26, 2024 to Apr 1, 2025
- Advisory employees · 14 to 15Sep 26, 2024 to Apr 1, 2025
- Corporate clients · 22 to 24Sep 26, 2024 to Apr 1, 2025
- HNW clients · 554 to 537Sep 26, 2024 to Apr 1, 2025
- Individual clients · 306 to 315Sep 26, 2024 to Apr 1, 2025
- Assets in custody · $708M to $721MSep 26, 2024 to Apr 1, 2025
- Employees · 31 to 33Sep 26, 2024 to Apr 1, 2025
- Other offices · 1 to 0Sep 26, 2024 to Apr 1, 2025
- Discretionary RAUM · $3.3B to $3.6BSep 26, 2024 to Apr 1, 2025
- HNW RAUM · $3.1B to $3.3BSep 26, 2024 to Apr 1, 2025
- Individual RAUM · $127M to $179MSep 26, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $519M to $533MSep 26, 2024 to Apr 1, 2025
- RAUM · $3.8B to $4.1BSep 26, 2024 to Apr 1, 2025
- Accounts · 2,574 to 2,531Nov 28, 2023 to Mar 27, 2024
- Corporate clients · 18 to 22Nov 28, 2023 to Mar 27, 2024
- HNW clients · 556 to 554Nov 28, 2023 to Mar 27, 2024
- Individual clients · 301 to 306Nov 28, 2023 to Mar 27, 2024
- Assets in custody · $592M to $708MNov 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $3.1B to $3.3BNov 28, 2023 to Mar 27, 2024
- HNW RAUM · $2.1B to $3.1BNov 28, 2023 to Mar 27, 2024
- Individual RAUM · $1.2B to $127MNov 28, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $539M to $519MNov 28, 2023 to Mar 27, 2024
- Pension RAUM · 3861839.0 to unsetNov 28, 2023 to Mar 27, 2024
- RAUM · $3.6B to $3.8BNov 28, 2023 to Mar 27, 2024
- Accounts · 2,527 to 2,574Dec 12, 2022 to Mar 24, 2023
- HNW clients · 546 to 556Dec 12, 2022 to Mar 24, 2023
- Individual clients · 306 to 301Dec 12, 2022 to Mar 24, 2023
Signals
3 dated events
- Carlota Bjork Venegas left Clifford Swan Investment Counselors for Raven Wealth Advisors (registered 2026-03-06)Mar 6, 2026 · Advisor changed firm · fact
- Erica Shelare White left Clifford Swan Investment Counselors for J.P. Morgan Securities Llc (registered 2022-08-09)Jun 13, 2022 · Advisor changed firm · fact
- Davis Linda Taylor (Chairman & Ceo) no longer on Schedule A of Clifford Swan Investment Counselors (listed 2020-06-30, absent 2020-07-27)Jul 27, 2020 · Control person left · inference
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 email
- info@cliffordswan.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 626-792-2228reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 626-792-2670reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/CLIFFORD-SWAN-INVESTMENT-COUNSELreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CLIFFORDSWAN.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 626-792-2228reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- cliffordswan.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- cliffordswan.com/about/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
- $264Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026