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SIERRA INVESTMENT MANAGEMENT, LLC

SANTA MONICA, CA · CRD 106615 · IAPD ↗ · 310-452-1887

$360.9MRegulatory AUM
8Advisory reps
34Employees
0Clients
1-10Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2026 — SIERRA INVESTMENT MANAGEMENT, LLC notice-filed in LA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2025 — SIERRA INVESTMENT MANAGEMENT, LLC notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
58
November 2024 — SIERRA INVESTMENT MANAGEMENT INC is now doing business as SIERRA INVESTMENT MANAGEMENT, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
68
April 2024 — SIERRA INVESTMENT MANAGEMENT INC now reports custody of client assets ($146.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
78
April 2024 — SIERRA INVESTMENT MANAGEMENT INC now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.