Brian Sly and Company
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides investment advisory and portfolio management services primarily to individual clients (including high net worth individuals), retirement plans, foundations, and certain institutional clients. Substantially all clients participate in SEI Asset Allocation Model Portfolio services and the firm advises on a range of assets including mutual funds, individual securities, and third‑party investment managers.
The firm’s investment approach emphasizes asset allocation grounded in Modern Portfolio Theory implemented largely through SEI model portfolios, with regular (typically quarterly) performance reviews and client contact by phone or email. It does not accept discretionary authority for client accounts and operates on a predominantly non‑discretionary basis, recommending managers and strategies while clients retain final trading decisions.
Noteworthy features disclosed in the brochure include historical disciplinary events from the 1990s (three trading complaints and an NYSE stipulation that resulted in a censure and short-term association bar), and arrangements involving performance‑based compensation at the third‑party manager level as well as referral fees that the firm or its owner may receive when clients invest with recommended managers. The firm also discloses substantial personal trading and investments by its owner in many recommended managers and a small client base with all managed assets reported as non‑discretionary, which are less common characteristics among peer independent advisors.
Client services
Expertise
Fee options
$0 - $499,999: 2.00% $500,000 - $999,999: 1.50% $1,000,000 - $4,999,999: 1.00% $5,000,000 - $9,999,999: 0.75% $10,000,000+: 0.50%
The Advisor and Brian Sly may receive commission and fee discounts on personal accounts, or referral fees or shares from a company, if Clients invest in a company or investment, or use of equipment or non-research services from non-Clients in connection with giving advice to Clients.
Main office
Meadow Vista CA
Advisors at this office
1
Most active in
California
Also doing business as
Brian Sly & Company · Brian Sly And Company · Brian Sly And Company, Inc. · Sly, Brian Nelson
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
-
Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)