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RICHARD G. SLATER
CRD 112239File 801-60326
APPROVED
Retail clients
Filing as of Jun 30, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$114.1M
Bottom 25% of cohort (national)
Discretionary AUM
$0
Non-discretionary $114.1M
Clients
48
210 accounts
Employees
1
Identity & registration
ADV Item 1- Organization form
- Sole Proprietorship
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jun 1, 2001
- Principal office
- Not reported
- Phone
- 916-835-4758
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $114.1M
- Discretionary AUM
- $0
- Non-discretionary AUM
- $114.1M
- Discretionary accounts
- 0
- Non-discretionary accounts
- 210
- Total accounts
- 210
- AUM per client
- $2.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 17 | $55.4M |
| Individuals (other than high net worth individuals) | 31 | $58.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.