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RICHARD G. SLATER

CRD 112239 · SEC 801-60326

Advisory firmSole prop

Independent or team-based registered investment adviser — LLC, partnership, or sole proprietorship.

CA, United States

Registration

Registered (APPROVED)

Source

SEC registered

Total AUM

$114.1M

Discretionary AUM

$0

Team

1 total employees; 1 advisory reps

Clients

0

Fees

Percentage of AUM; Fixed fees; Performance-based fees

Org form

Sole Proprietorship

Filing date

2026-01-23

Disciplinary history

No

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  • SEC IAPD →

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Services

Financial planningPortfolio management (individuals)

Client types

TypeClientsAUM
Individuals31$58.7M
High net worth individuals17$55.4M

States served

CA, TX

Official SEC filing: View on IAPD