Clifford Swan Investment Counselors

RIASEC Registered

Total AUM

$4.5B

Discretionary

$3.9B

88% of AUM

Avg account

$1.7M

Accounts

2,598

Employees

Advisory reps

Firm details

Headquarters: Pasadena, California
CRD number: 108033
Registered since: July 27, 1999
Website: cliffordswan.com
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI81.64%
Charitable Organizations11.89%
Corporations / Businesses3.95%
Individuals2.52%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsSelection of Other AdvisersPublication of Periodicals

Firm profile

FINTRX

Overview

Clifford Swan Investment Counselors is an independent, privately owned registered investment adviser that has been SEC registered since 1999. The firm serves both individual and family clients as well as institutional investors and describes itself as a capital allocator. Its advisory services cover comprehensive financial planning, discretionary and nondiscretionary portfolio management for individuals, small businesses and institutions, selection of other advisers, and publication of periodic newsletters. Fee arrangements are flexible and include percentage-of-assets, hourly charges and fixed fees. Clifford Swan does not characterize itself as an active ESG investor. The firm has received industry recognition, including multiple Top 100 Financial Advisory Firms placements from CNBC (2019–2022) and a Top RIA Firms mention from FA Magazine in 2020.