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Chief Compliance Officer · Clayton Partners LLC

Alex Gates

CRD 6842445 · Named on Form ADV at one SEC-registered adviser

At a glance

Clayton Partners LLC, an SEC-registered wealth manager based in Berkeley, CA with $172 million in regulatory assets, lists Alex Gates on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

  • Clayton Partners LLCChief Compliance OfficerWealth manager · Berkeley, CA · $172M in regulatory assets

AtlasMembers

Alex’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Alex’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.