# 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.

- CRD: 112239
- Filed as: RICHARD G. SLATER
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Filing period: October 2026
- Form ADV filing dated: June 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/112239
- AdvisorCensus page: https://advisorcensus.com/firm/richard-g-slater-112239

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated June 30, 2026)

- Account minimum: None

> Slater generally does not impose a minimum account size for establishing a relationship.

- Flat fee: up to $500 (financial planning services)

> 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 brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $114,079,809
- Discretionary: $0
- Non-discretionary: $114,079,809

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 31 | $58,708,644 |
| High net worth individuals | 17 | $55,371,165 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2001 (25 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $209,000,000 | 1 | February 5, 2021 |
| October 2022 | $245,965,987 | 1 | January 26, 2022 |
| October 2023 | $145,809,765 | 1 | February 28, 2023 |
| October 2024 | $134,945,001 | 1 | January 10, 2024 |
| October 2025 | $126,798,045 | 1 | January 17, 2025 |
| October 2026 | $114,079,809 | 1 | June 30, 2026 |

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.

## Changes in the filing (last 12 months)

### February 2026
- Regulatory assets under management went from $126,798,045 to $114,079,809 (-10%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Richard G. Slater (CRD 112239): Form ADV filing data as of October 2026.