Owner and Chief Compliance Officer · Richard G. Slater
Richard G. Slater
CRD 1525400 · Named on Form ADV at one SEC-registered adviser
At a glance
Richard G. Slater, an SEC-registered wealth manager with $114 million in regulatory assets, lists Richard G. Slater on its Form ADV as Owner and Chief Compliance Officer, a control person.
Firms and roles
- Richard G. SlaterOwner and Chief Compliance OfficerWealth manager · United States · $114M in regulatory assets
AtlasMembers
Richard’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.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Richard’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.