AdvisorCensus / Financial advisors / Richard G. Slater
Richard G. Slater
Filed as RICHARD G. SLATER
Richard G. Slater is an SEC-registered investment advisory firm, registered since 2001, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated June 30, 2026.
Quick answers
From the filingHow is Richard G. Slater compensated?
On its Form ADV (Item 5.E, October 2026), Richard G. Slater reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees.
How much does Richard G. Slater charge?
Its Form ADV Part 2A brochure dated June 30, 2026 states: Flat fee: up to $500 (financial planning services). Fees can differ by service and may be negotiable; the brochure is the complete statement.
Is Richard G. Slater registered with the SEC or a state?
Richard G. Slater is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 112239.
How much does Richard G. Slater manage?
Richard G. Slater reports $114,079,809 in regulatory assets under management in its Form ADV filing dated June 30, 2026 (0% discretionary).
How have Richard G. Slater's assets and staff changed since 2021?
In the Form ADV data for Richard G. Slater: Regulatory assets under management: $209,000,000 in the October 2021 data and $114,079,809 in the October 2026 data, down 45%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Richard G. Slater serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (31); high net worth individuals (17).
Which custodians does Richard G. Slater use?
Richard G. Slater's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.
Does Richard G. Slater report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/112239
Does Richard G. Slater state an account minimum?
Its Form ADV Part 2A brochure dated June 30, 2026 says: "Slater generally does not impose a minimum account size for establishing a relationship."
What changed in Richard G. Slater's recent Form ADV filings?
In the February 2026 filing data: Regulatory assets under management went from $126,798,045 to $114,079,809 (-10%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AThe brochure lists different fees for different services or strategies; see the brochure for them.
Account minimum: None
The brochure's wording
Slater generally does not impose a minimum account size for establishing a relationship.
Flat fee: up to $500 (financial planning services)
The brochure's wording
Slater offers financial planning services on fixed fee basis. Fixed fees range up to $500 and are negotiable depending on the nature and complexity of each Client’s circumstances.
As stated in the firm's Form ADV Part 2A brochure dated June 30, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$114,079,809 as of October 2026, filing dated June 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2001 (25 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.
- States registered or notice-filed
-
2 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $114,079,809 | 1 | June 30, 2026 |
| October 2025 | $126,798,045 | 1 | January 17, 2025 |
| October 2024 | $134,945,001 | 1 | January 10, 2024 |
| October 2023 | $145,809,765 | 1 | February 28, 2023 |
| October 2022 | $245,965,987 | 1 | January 26, 2022 |
| October 2021 | $209,000,000 | 1 | February 5, 2021 |
Regulatory assets under management: $209,000,000 in the October 2021 data and $114,079,809 in the October 2026 data, down 45%.
Total employees: 1 in October 2021 and 1 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- February 2026
- Regulatory assets under management went from $126,798,045 to $114,079,809 (-10%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Richard G. Slater (CRD 112239): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/richard-g-slater-112239