RICHARD G. SLATER
Adviser information for RICHARD G. SLATER last updated from Form ADV on January 10th, 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 | Sole Proprietorship |
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Fiscal Year End | DECEMBER |
Legal Location | California, United States |
Employees
Total Number of Employees | 1 |
---|---|
Investment Advisory/Research | 1 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 1 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 0 |
RAUM
Provides Management of Securities Portfolios | Yes |
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Type | Accounts | RAUM |
---|---|---|
Discretionary | 0 | $0 |
Non-Discretionary | 222 | $134.9M |
Total | 222 | $134.9M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 29 | $34.9M |
HNW Individuals | 29 | $100.0M |
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 | 0 | $0 |
Charitable organizations | 0 | $0 |
State or municipal gov entities | 0 | $0 |
Other investment advisers | 0 | $0 |
Insurance companies | 0 | $0 |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | 0 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 0 |
No. of Financial Planning Clients | 0 |
Services
Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
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Compensation | % of AUMPerformance-based fees |
Identifiers
SEC RIA File Number | 801-60326 |
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SEC ERA File Number | 801-60326 |
SEC CIK Numbers | None |
SEC CRD Numbers | 112239 |
Legal Entity Identifier | None |
Principal Office
901 51ST STREETSACRAMENTO
CA
United States
Monday - Friday, 6:00 AM TO 9:00PM
Tel: 916-835-4758, Fax: None
Chief Compliance Officer
RICHARD G. SLATER
OWNER
901 51ST STREET
SACRAMENTO
CA
United States
Tel:
916-835-4758
T**************@********M
(Full email address available in API data)
Industry Affiliates
None |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
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None
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
SLATER, RICHARD, GARSON | Individual | – | OWNER AND CHIEF COMPLIANCE OFFICER | 07/1991 | > 75% |