Roger L. Gewecke

CLIFFORD SWAN INVESTMENT COUNSELORS

Pasadena, CA 91105-1965

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CRD#: 1081009

Professional summary

Roger Leland (jr) Gewecke is a registered financial advisor currently at CLIFFORD SWAN INVESTMENT COUNSELORS located in Pasadena, California.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Roger has worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Leland (jr) Gewecke's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 13, 2007 - Present

CLIFFORD SWAN INVESTMENT COUNSELORS

Office #1: 177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965

RIA

CRD#: 108033

Pasadena, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLIFFORD SWAN INVESTMENT COUNSELORS

CRD#: 108033 / SEC#: 801-56675

RIA

Registered Investment Advisory firm - (7/27/1999 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/13/2007)

IAR

New Hampshire
(11/13/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

CLIFFORD SWAN INVESTMENT COUNSELORS

CRD#: 108033 / SEC#: 801-56675

RIA

Registered Investment Advisory firm - (7/27/1999 Approved)

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Contact information

Main Address

177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965

Mailing Address

Phone number

(626) 792-2228

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLIFFORD SWAN ADV PART 2A 10 27 2025 (10/27/2025)

Regulatory assets under management

Total Number of Accounts	2,522
AUM (Assets Under Management)	$ 4,143,559,319

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/21/2025	Cover Page	Report
04/15/2024	Cover Page	Report
08/10/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Roger L. Gewecke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Leland (jr) Gewecke's CRS (Customer Relationship Summary).

Certified licenses

Experience

CLIFFORD SWAN INVESTMENT COUNSELORS

Primary Firm SEC Registration

CLIFFORD SWAN INVESTMENT COUNSELORS

State Registrations and Notice Filings

Exams

Current Firm

CLIFFORD SWAN INVESTMENT COUNSELORS

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLIFFORD SWAN INVESTMENT COUNSELORS

TRUST BUT VERIFY

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