{
  "crd_number": 112239,
  "slug": "richard-g-slater-112239",
  "primary_business_name": "RICHARD G. SLATER",
  "legal_name": "RICHARD G. SLATER",
  "dbas": [],
  "city": null,
  "state": null,
  "country": null,
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2001-06-01",
  "years_registered": 25,
  "period": "2026-10-01",
  "filing_date": "2026-06-30",
  "carried_forward": false,
  "raum_total": 114079809.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 114079809.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 58708644.0,
      "count": 31
    },
    "high_net_worth_individuals": {
      "raum": 55371165.0,
      "count": 17
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "TX"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/112239",
  "city_as_filed": null,
  "url": "https://advisorcensus.com/firm/richard-g-slater-112239",
  "display_name": "Richard G. Slater",
  "summary": "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.",
  "citation": "AdvisorCensus. Richard G. Slater (CRD 112239): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Richard G. Slater compensated?",
      "a": "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."
    },
    {
      "q": "How much does Richard G. Slater charge?",
      "a": "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."
    },
    {
      "q": "Is Richard G. Slater registered with the SEC or a state?",
      "a": "Richard G. Slater is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 112239."
    },
    {
      "q": "How much does Richard G. Slater manage?",
      "a": "Richard G. Slater reports $114,079,809 in regulatory assets under management in its Form ADV filing dated June 30, 2026 (0% discretionary)."
    },
    {
      "q": "How have Richard G. Slater's assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Richard G. Slater serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (31); high net worth individuals (17)."
    },
    {
      "q": "Which custodians does Richard G. Slater use?",
      "a": "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."
    },
    {
      "q": "Does Richard G. Slater report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "Does Richard G. Slater state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated June 30, 2026 says: \"Slater generally does not impose a minimum account size for establishing a relationship.\""
    },
    {
      "q": "What changed in Richard G. Slater's recent Form ADV filings?",
      "a": "In the February 2026 filing data: Regulatory assets under management went from $126,798,045 to $114,079,809 (-10%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 209000000.0,
      "total_employees": 1,
      "filing_date": "2021-02-05"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 245965987.0,
      "total_employees": 1,
      "filing_date": "2022-01-26"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 145809765.0,
      "total_employees": 1,
      "filing_date": "2023-02-28"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 134945001.0,
      "total_employees": 1,
      "filing_date": "2024-01-10"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 126798045.0,
      "total_employees": 1,
      "filing_date": "2025-01-17"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 114079809.0,
      "total_employees": 1,
      "filing_date": "2026-06-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-02-01",
      "period_label": "February 2026",
      "notes": [
        "Regulatory assets under management went from $126,798,045 to $114,079,809 (-10%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated June 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Flat fee: up to $500 (financial planning services)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "Slater generally does not impose a minimum account size for establishing a relationship."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Flat fee: up to $500 (financial planning services)"
        ],
        "quotes": [
          "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."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "flat",
          "amount": null,
          "min": null,
          "max": 500.0,
          "period": "one_time",
          "service": "financial planning services"
        }
      ]
    },
    "quotes": [
      "Slater generally does not impose a minimum account size for establishing a relationship.",
      "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."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/richard-g-slater-112239.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 31,
      "fewer_than_5": false,
      "raum": 58708644.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 17,
      "fewer_than_5": false,
      "raum": 55371165.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/112239",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}