SIERRA INVESTMENT MANAGEMENT INC
Adviser information for SIERRA INVESTMENT MANAGEMENT INC last updated from Form ADV on March 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 51 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 25 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 900 | $388.1M |
| Non-Discretionary | 0 | $0 |
| Total | 900 | $388.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 255 | $86.8M |
| HNW Individuals | 96 | $264.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 8 | $14.6M |
| Charitable organizations | <5 | $920,616 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $17.1M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 7 | $4.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPORTFOLIO MANAGEMENT TO PPVA SEPARATE ACCOUNTS |
|---|---|
| Compensation | % of AUM |
Principal Office
3420 OCEAN PARK BLVD, STE 3060SANTA MONICA
CA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 310-452-1887, Fax: 310-452-2680
Chief Compliance Officer
ERIK MORRIS
CHIEF COMPLIANCE OFFICER
3420 OCEAN PARK BLVD.
SUITE 3060
SANTA MONICA
CA
United States
Tel:
215-208-6149
E**********@*******************M
(Full email address available in API data)
Regulatory Contact
ALBERT (SKIP) SCHWEISS
CHIEF EXECUTIVE OFFICER
3420 OCEAN PARK BLVD
STE 3060
SANTA MONICA
CA
United States
Tel:
303-907-8967
Fax:
310-452-2680
S************@*******************M
(Full email address available in API data)
Industry Affiliates
| OCEAN PARK ASSET MANAGEMENT, INC. | Other investment adviser, including financial planners |
| OCEAN PARK ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SLEEPER, KENNETH, LEE | Individual | – | SR. VICE PRESIDENT/DIRECTOR | 09/1992 | 50-75% |
| WRIGHT, DAVID, CHANDLER | Individual | – | PRESIDENT | 10/1992 | 50-75% |
| STROMEYER, KRISTINE | Individual | – | CHIEF FINANCIAL OFFICER/CHIEF OPERATING OFFICER | 01/2016 | < 5% |
| FREESMAN, VANDA, SARINA | Individual | – | CHIEF MARKETING OFFICER | 11/2019 | < 5% |
| LOEFFLER, DOUGLAS, ANDREW | Individual | – | EXECUTIVE VICE-PRESIDENT INVESTMENT MANAGEMENT | 02/2021 | < 5% |
| SCHWEISS, ALBERT, GEORGE | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2021 | < 5% |
| MORRIS, ERIK, WINFIELD | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2023 | < 5% |
| STAUBIN, JAMES, EDWIN | Individual | – | CHIEF INVESTMENT OFFICER | 07/2022 | < 5% |
| HARDER, RYAN, ANDREAS | Individual | – | CHIEF INVESTMENT STRATEGIST | 07/2022 | < 5% |