Clifford Swan Investment Counsel LLC
● SEC registered since 1999CRD 108033SEC# 801-56675Pasadena, CA
Reg. AUM
$4.48B
Employees
40
Accounts
2,598
Location
Pasadena, CA
Clifford Swan Investment Counsel LLC assets under management
Clifford Swan Investment Counsel LLC is an investment advisory firm registered with the SEC based in Pasadena, CA. The firm has been registered since 1999. It reports $4.5 billion in regulatory assets under management and employs 40 people.
Clifford Swan Investment Counsel LLC owners & executives
9 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| David Joseph Nelson | Chief Operating Officer | Under 5% | 2023 |
| Gretchen Elizabeth Lee | Chief Compliance Officer | Under 5% | 2019 |
| Kathleen Gilmore Control | Chairman & President | 10-25% | 2020 |
See all 9 owners & executives — unlock the full record.
Join to unlock · $37/moFrequently asked questions
How much does Clifford Swan Investment Counsel LLC manage?
Clifford Swan Investment Counsel LLC reports $4.5 billion in regulatory assets under management on its Form ADV.
How many employees does Clifford Swan Investment Counsel LLC have?
Clifford Swan Investment Counsel LLC reports 40 employees.
Where is Clifford Swan Investment Counsel LLC located?
Clifford Swan Investment Counsel LLC is based in Pasadena, CA and has been SEC-registered since 1999.
Does Clifford Swan Investment Counsel LLC disclose fund performance?
Clifford Swan Investment Counsel LLC is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 177 E. Colorado Blvd, Ste 550, Pasadena, CA 91105-1965 |
| Phone | 626-792-2228 |
| Fax | 626-792-2670 |
| Office hours | 7:00 a.m. To 5:00 p.m. |
| SEC region | Los Angeles Regional Office (LARO) |
| CIK | 1034642 |
| Discloses disciplinary history | No |
Regulatory AUM
$4.48B▲ 8%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 14%
Larger than 86% of 16,271 advisers
EmployeesTop 14%
More than 86% of 16,825 advisers
Assets under management
$4.48Bregulatory AUM
Discretionary $3.93BNon-discretionary $557.1M