Clifford Swan Investment Counsel LLC is a large advisory firm based in Pasadena. It manages $2.78 billion of regulatory assets for 2,366 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of Arizona, California, Colorado, and 8 other states.
Clifford Swan Investment Counsel provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, selection of other advisers, and publication of newsletters. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Clifford Swan Investment Counsel LLC is $2.78 billion. The firm's AUM has grown by 34% since the beginning of its operation, and $18.12 million of the total AUM is attributable to clients outside of the United States.
The advisory firm has several streams of revenue. Clients pay Clifford Swan Investment Counsel LLC for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, charitable organizations, high net worth individuals, and corporations or other businesses. The largest group of clients of Maxwell Ramsey Pray is high net worth individuals with 470 clients and $2.19 billion of assets under management. Among the 11 most similar advisory firms, Clifford Swan Investment Counsel has the 3rd highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $2.77 billion for 774 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.
Clifford Swan Investment Counsel doesn't advise any private funds.
The company employs 28 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. 11 employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
Maxwell Ramsey Pray has been acting as President since 1 Jan 2011. Richard Howard Adler joined the executive team most recently as the Director.
The principal office where Clifford Swan Investment Counsel LLC performs its advisory services is located at 177 E. Colorado Blvd, Pasadena, CA 91105 1965, which is also the mailing address of the firm. An additional office of the firm is in Golden, CO. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 626-792-2228 or by fax 626-792-2670. The normal business hours are 7:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at cliffordswan.com.