Sierra Investment Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$335,011,728
Clients
294
Advisors
5
of 34 employees
About
Sierra Investment Management is a team-based SEC-registered advisor that manages discretionary portfolios and offers limited financial planning to individuals, high‑net‑worth clients, trusts, retirement plans, and certain institutional accounts; it also serves as the discretionary investment manager for separate accounts in private placement variable annuities offered by Axcelus. The brochure indicates Sierra oversees a range of program options and delivers services through its curated Sierra Programs, including wrap-fee accounts custodied at Schwab and non-wrap arrangements for annuity and PPVA clients.
The firm describes a rules‑based, tactical investment approach that emphasizes trend‑following and a disciplined sell discipline to manage downside risk, applying that process to portfolios made up primarily of registered mutual funds and ETFs and to cash equivalents when buy signals are absent. Sierra offers multiple program series (Series 1, Blended, and Schooner) that differ in whether they use unaffiliated funds, a mix of affiliated and unaffiliated funds, or rely solely on affiliated funds, and it applies daily program reviews and team‑based decision making to implement allocations.
What distinguishes Sierra from many peers is its explicit affiliation with Ocean Park Asset Management, which advises the Ocean Park mutual funds and Ocean Park ETFs; the brochure discloses that certain Sierra Programs may invest in those affiliated funds, describes an Affiliated Funds’ Fee Offset Credit and Schooner Programs that allocate exclusively to affiliated funds, and acknowledges the resulting conflicts and mitigation steps. The brochure also documents the firm’s marketing and distribution arrangements — including prior use of a lead‑generation operator and personnel registrations with the distributor for fund marketing — and discloses advertising practices that include performance presentations and the use of endorsements.
Client services
Expertise
Occupation focus
Fee options
$0 - $500,000: 1.8% annualized (0.45% per quarter) $500,000 - $1,000,000: blended: 1.8% annualized up to $500,000 plus 1.2% annualized for amount above $500,000 (0.45% plus 0.30% quarterly portions) $1,000,000+: 1.0% annualized (0.25% per quarter)
Account minimum: $500,000 per household, $50,000 per account registration, with discretionary acceptance of smaller accounts; $25,000 minimum for Sierra Schooner Programs; $1,000,000 household assets under management minimum for PPVA programs Fee-only: Some Sierra Schooner Programs pay only affiliated fund management fees, with no separate Sierra advisory fee charged.
Main office
3420 Ocean Park Blvd, Ste 3060
Santa Monica CA 90405
Advisors at this office
5
Most active in
California · Colorado · Louisiana · Pennsylvania · Texas · Washington
Also doing business as
Sierra Investment Management Inc · Sierra Investment Management, Inc. · Sierra Investment Management, LLC
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:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Marshall Q
Series 65
Santa Monica, CA
Sierra Investment Management, LLC
Marshall Quan is a financial advisor at Sierra Investment Management, LLC with 25 years of industry experience. He holds a Series 65 designation and has worked at Sierra Investment Management since 1999 and Ocean Park Asset Management since 2007. Sierra Investment Management is a team-based SEC-registered advisor that manages discretionary portfolios and offers limited financial planning services to individuals, high-net-worth clients, trusts, retirement plans, and certain institutional accounts. The firm employs a rules-based, tactical investment approach focused on trend-following and disciplined risk management, utilizing a range of mutual funds and ETFs across multiple program series, with daily program reviews and team-based decision making.
David W
Series 65
Santa Monica, CA
Sierra Investment Management, LLC
David Wright is a financial advisor at Sierra Investment Management, LLC with 36 years of industry experience. He holds a Series 65 designation and has worked at Sierra Investment Management, Inc. since 1992 and Ocean Park Asset Management, Inc. since 1989. Sierra Investment Management is a team-based SEC-registered advisor that manages discretionary portfolios and provides limited financial planning for individuals, high-net-worth clients, trusts, retirement plans, and select institutional accounts. The firm uses a rules-based, tactical investment approach focused on trend-following and downside risk management, implementing allocations through multiple program options that include affiliated Ocean Park mutual funds and ETFs.
Nathan B
Series 66
Santa Monica, CA
Sierra Investment Management, LLC
Nathan Brummel is a Series 66-licensed financial advisor with 10 years of industry experience. He has worked at Sierra Investment Management, LLC since 2023 and previously held roles at Charles Schwab Bank and Charles Schwab & Co., Inc. from 2016 to 2023. Sierra Investment Management is a team-based SEC-registered advisor that manages discretionary portfolios and offers limited financial planning to individuals, high-net-worth clients, trusts, retirement plans, and certain institutional accounts. The firm employs a rules-based, tactical investment approach focused on trend-following and disciplined risk management, and it operates multiple program series that utilize affiliated and unaffiliated mutual funds and ETFs.
Kenneth S
Series 65
Santa Monica, CA
Sierra Investment Management, LLC
Kenneth Sleeper is a financial advisor with Sierra Investment Management, LLC in Santa Monica, CA, holding a Series 65 designation and bringing 36 years of industry experience. He has worked at Sierra Investment Management, Inc. since 1992 and at Ocean Park Asset Management, Inc. since 1989. Sierra Investment Management is a team-based SEC-registered advisor that manages discretionary portfolios and offers limited financial planning to individuals, high-net-worth clients, trusts, retirement plans, and certain institutional accounts. The firm uses a rules-based, tactical investment approach focused on trend-following and downside risk management, implementing daily program reviews and team-based decision making across multiple program series that include affiliated and unaffiliated funds.
Gira P
Series 65
Santa Monica, CA
Sierra Investment Management, LLC
Gira Patel is a financial advisor with Sierra Investment Management, LLC in Santa Monica, CA, holding a Series 65 credential and 10 years of industry experience. He has been with Sierra Investment Management since 2015. Sierra Investment Management is a team-based SEC-registered advisor that manages discretionary portfolios and offers limited financial planning to individuals, high-net-worth clients, trusts, retirement plans, and certain institutional accounts. The firm employs a rules-based, tactical investment approach focused on trend-following and downside risk management, utilizing a range of program options and affiliated mutual funds and ETFs through its affiliation with Ocean Park Asset Management.
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