Sierra Investment Management, Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 106615
· SEC file 801-42954
· Santa Monica, CA
· www.youtube.com
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ADV data as of Jul 15, 2026
- Regulatory AUM
- $361M
- Discretionary
- $361M
- Clients
- 312
- Avg AUM / client
- $1.2M
- Accounts
- 759
- Employees
- 34
AUM over time
$361M
$717M
Dec 2011
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 193 | $75.7M | 21.0% |
| High net worth individuals | 101 | $259M | 71.8% |
| Pension and profit sharing plans | 7 | $12.3M | 3.4% |
| Charitable organizations | 1 | $713K | 0.2% |
| Corporations and other businesses | 3 | $2.1M | 0.58% |
| Other | 7 | $10.8M | 2.99% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| No Calif Glaziers, Architectural Metal And Glassworkers Pension Plan Board Of Trustees, No. Calif. Glaziers Architectural Metal & Glas | 2024 | |
| Catv Industry Ibew Pension Plan Board Of Trustees Of Catv Industry Ibew Pension Plan | 2024 | |
| Sheet Metal Local 10 Supplemental Retirement Fund Trustees Of Sheet Metal Local 10 Supplemental Retirement Fund | 2024 | |
| Sheet Metal Workers' Local 10 Pension Fund Trustees Of Sheet Metal Workers' Local 10 Pension Fund | 2024 | |
| Bay Area Painters & Tapers Pension Trust Bay Area Painters & Tapers Pension Trust | 2024 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Chandler Wright | President | Oct 1989 (37y) | ≈ 14.06% – 56.25% via Ocean Park Asset Management, Inc | |
| Kenneth Lee Sleeper | Sr. Vice President/Director | Oct 1989 (37y) | ≈ 14.06% – 56.25% via Ocean Park Asset Management, Inc | |
| Stromeyer, Kristine, Janel | Chief Operating Officer | Jan 2016 (11y) | Less than 5% | |
| Freesman, Vanda, Sarina | Chief Marketing Officer | Nov 2019 (7y) | Less than 5% | |
| Schweiss, Albert, George | Chief Executive Officer | Oct 2021 (5y) | Less than 5% | |
| Harder, Ryan, Andreas | Chief Investment Strategist | Jul 2022 (4y) | Less than 5% | |
| Staubin, James, Edwin | Chief Investment Officer | Jul 2022 (4y) | Less than 5% | |
| Morris, Erik, Winfield | Chief Compliance Officer | Sep 2023 (3y) | Less than 5% | |
| Donati, Annalisa | Chief Financial Officer | Jul 2024 (2y) | Less than 5% | |
| Gira Patel | Registered representative | Nov 2015 (11y) | ||
| Nathan Henry Brummel | Registered representative | Oct 2023 (3y) | ||
| Marshall Quan | Registered representative | Nov 2024 (2y) | ||
| Gayatri R Vyas | Registered representative | Feb 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sierra Investments Group, Llc | Owner | Oct 2024 | A | 75% or more |
| Sierra Investments Holdings, Llc | Owner | Oct 2024 | B | ≈ 56.25% – 100% via Sierra Investments Group, Llc |
| Ocean Park Asset Management, Inc | Owner | Oct 2024 | B | ≈ 28.13% – 75% via Sierra Investments Holdings, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Chandler Wright: 50% – 75% of Ocean Park Asset Management, Inc × 50% – 75% of Sierra Investments Holdings, Llc × 75% – 100% of Sierra Investments Group, Llc × 75% – 100% direct ≈ 14.06% – 56.25% of the firm
- Kenneth Lee Sleeper: 50% – 75% of Ocean Park Asset Management, Inc × 50% – 75% of Sierra Investments Holdings, Llc × 75% – 100% of Sierra Investments Group, Llc × 75% – 100% direct ≈ 14.06% – 56.25% of the firm
- Sierra Investments Holdings, Llc: 75% – 100% of Sierra Investments Group, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Ocean Park Asset Management, Inc: 50% – 75% of Sierra Investments Holdings, Llc × 75% – 100% of Sierra Investments Group, Llc × 75% – 100% direct ≈ 28.13% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (5)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| No Calif Glaziers, Architectural Metal And Glassworkers Pension Plan | Board Of Trustees, No. Calif. Glaziers Architectural Metal & Glas | 1,426 | $549M | 07/01/2024 |
| Catv Industry Ibew Pension Plan | Board Of Trustees Of Catv Industry Ibew Pension Plan | 47 | $98.4M | 01/01/2024 |
| Sheet Metal Local 10 Supplemental Retirement Fund | Trustees Of Sheet Metal Local 10 Supplemental Retirement Fund | 4,308 | $573M | 01/01/2024 |
| Sheet Metal Workers' Local 10 Pension Fund | Trustees Of Sheet Metal Workers' Local 10 Pension Fund | 2,561 | $406M | 01/01/2024 |
| Bay Area Painters & Tapers Pension Trust | Bay Area Painters & Tapers Pension Trust | 3,428 | $700M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/15/2026 | 1.06 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $347M (96% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 15, 2026.
View current Form ADV (SEC/IAPD) ↗