Clifford Swan Investment Counselors

RIASEC RegisteredEst. 1999

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, SEC-registered registered investment adviser operating as an LLC since 1999. The firm serves both individuals and families as well as institutional clients, offering financial planning, portfolio management for individuals, small businesses and institutions, selection of other advisers, and periodic published commentary. Clifford Swan functions as a capital allocator, engaging external managers for alternative strategies rather than limiting its investable universe to listed securities. The firm uses a mix of fee arrangements that includes a percentage of assets under management, hourly fees, and fixed fees. It does not identify as an active ESG investor and is not listed as a multi-state or pension consultant adviser. Clifford Swan has been recognized in industry lists, including multiple Top 100 Financial Advisory Firms placements by CNBC (2019–2022) and a Top RIA Firms nod from Financial Advisor magazine in 2020.