SourcingSourcing

CLIFFORD SWAN INVESTMENT COUNSEL LLC

C30
CRD 108033·SEC 801-56675·PASADENA, CA
AUM
$4.48B
$1B+
Est. Revenue
$44.8M
@ 1% on AUM
Est. EBITDA
$13.4M
@ 30% margin
Est. Deal Value
$107.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CLIFFORD SWAN INVESTMENT COUNSEL LLC
CRD
108033
SEC file #
801-56675
EIN
954749812
DBA names
Clifford Swan Investment Counselors

Economics

AUM
$4.48B
AUM band
$1B+
AUM trajectory
'20'26
$2.78B → $4.48B▲ +61%
Client mix
Individuals High Net Worth588
Individuals Other296
Charitable Organizations62
Corporations24

Operations

Employees (total)
40
Advisory staff (per ADV)
17
Advisory staff (5-yr trend)
'20'26
12 advisors → 17 advisors▲ +42%
Primary office
PASADENA CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/10/2026
ADV-W filed at
—
Website
linkedin.com/company/clifford-swan-investment-counsel(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BOYLE, PETER, JAMES
Top Owner Pct
17.5
Top Owner Entity Kind
I
Owner Count
9
Control Persons
BOYLE, PETER, JAMES
GEWECKE, ROGER, LELAND (JR)
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:cliffordswan.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
26,375
Form 5500 Compensation Trajectory 3y
202526,375
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
26,375
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Cik
0001034642
Edgar Registered
Yes
Edgar Filing Count
120
Edgar First Filing Date
1999-06-21
Edgar Last Filing Date
2026-05-06
Edgar 13f Count
117
Edgar 13f Latest AUM Estimate
Filing Date2026-05-06
Accession0001034642-26-000002
Edgar Former Names
CLIFFORD ASSOCIATES LLC
CLIFFORD ASSOCIATES INC/CA

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
17
Bc Firm IAR Count
17
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
177 E. COLORADO BLVDSUITE 550PASADENA, CA 91105
Business
177 E. COLORADO BLVDSUITE 550PASADENA, CA 91105
Edgar EIN
954749812
Edgar Recent Filings
13F-HR2026-05-06 · 0001034642-26-000002
13F-HR2026-02-11 · 0001034642-26-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
2282726
Trust Company Affiliate
No

People (20)

20
BOYLE, PETER, JAMES
IAR · Direct Owner · 17.5%
2282726
GILMORE, KATHLEEN
IAR · Direct Owner · 17.5%
4576093
CAVANAUGH, KEVIN, JAMES
IAR · Direct Owner · 17.5%
5924323
GEWECKE, ROGER, LELAND (JR)
IAR · Direct Owner · 17.5%
1081009
PRAY, MAXWELL, RAMSEY
IAR · Direct Owner · 17.5%
2733434
ZAHARIA, RANDALL, LEE
IAR · Direct Owner · 7.5%
4565341
ADLER, RICHARD, HOWARD
Executive Officer · 2.5%
2102059
LEE, GRETCHEN, ELIZABETH
Executive Officer · 2.5%
2610857
NELSON, DAVID, JOSEPH
Executive Officer · 2.5%
5327262
GEORGE EDWARD HASBUN
IAR
4366287
Murcy Ya Ni Huang
IAR
7671725
David Yi-Yen Lin
IAR
6783142
CHARLOTTE CHEIM ANTEN
IAR
1921180
ELLIOTT CURTIS HOLLINGSWORTH
IAR
4363276
Raymond Gilbert Torres
IAR
8214922
LLOYD KATHARINE WONG
IAR
3146807
BILLY J.H. YEH
IAR
4763864
LESLIE ANN MANUEL GUTIERREZ
IAR
4997993
Austin Highsmith Gewecke
IAR
7364272
Raymundo Flores
IAR
7216779