Data / Investment advisers / California / Clifford Swan Investment Counselors
Clifford Swan Investment Counselors, Pasadena, CA: $4.5 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Clifford Swan Investment Counselors is an SEC registered investment adviser with its main office in Pasadena, California and reports $4.5 billion in regulatory assets under management in its Form ADV filed February 10, 2026. Its clients include high net worth individuals, charitable organizations and corporations and other businesses. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch Clifford Swan Investment Counselors (CRD number 108033): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 108033
- SEC file number
- 801-56675
- SEC status
- Approved, effective July 27, 1999
- Legal name
- Clifford Swan Investment Counsel LLC
- Main office
- 177 E. Colorado Blvd Ste 550, Pasadena, CA 91105
- Phone
- (626) 792-2228
- Regulatory AUM
- $4,482,345,088 in the Form ADV filed February 10, 2026
- Discretionary AUM
- $3,925,252,939
- Non discretionary AUM
- $557,092,149
- Accounts
- 2,598
- Employees
- 40, of which 17 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- February 10, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 588 | $3.66 billion |
| Charitable organizations | 62 | $533.1 million |
| Corporations or other businesses | 24 | $177 million |
| Individuals (other than high net worth individuals) | 296 | $112.9 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $4.48 billion | February 10, 2026 |
| December 1, 2025 | $4.14 billion | October 27, 2025 |
Other advisers in Pasadena
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Western Asset Management Company | Pasadena | $184.99 billion | 33 | adviserinfo.sec.gov |
| Primecap Management Co | Pasadena | $139.34 billion | Not listed | adviserinfo.sec.gov |
| Shuster Advisory Group, LLC | Pasadena | $10.32 billion | Not listed | adviserinfo.sec.gov |
| Wedbush Securities Inc. | Pasadena | $6.75 billion | Not listed | adviserinfo.sec.gov |
| Capital Research & Consulting LLC | Pasadena | $5.99 billion | Not listed | adviserinfo.sec.gov |
| Flaherty & Crumrine Incorporated | Pasadena | $4.15 billion | Not listed | adviserinfo.sec.gov |
| Pasadena Private Wealth, LLC | Pasadena | $1.62 billion | 6 | adviserinfo.sec.gov |
| Wedbush Fund Advisers, LLC | Pasadena | $1.07 billion | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Pasadena, CA
- Investment advisers in California
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving charitable organizations
- Clifford Swan Investment Counselors on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.