Alex Gates has been Chief Compliance Officer of Clayton Partners since July 2017, is a control person of the firm and directly owns under 5% of it. Alex Gates holds a Master's degree in Business Economics from the University of California at Santa Barbara and a BS in Economics and Statistics from Cal Poly State University.
Clayton Partners LLC is a Berkeley, CA firm with $172M under management, 56 clients and 4 advisers in one office, as of its March 2026 filing.
Alex Gates is Partner, Co-Portfolio Manager and Chief Compliance Officer of Clayton Partners LLC, based in Berkeley, California. He is Co-Portfolio Manager of CPDS and leads the firm's effort to source public and private investment opportunities.
- Clayton Partners LLCCurrent– present · under a yearBerkeley, CA · Adviser representative · Firm CRD 127546
Professional designations
Listed by Clayton Partners
- CFA
Investment adviser representative registrations
Alex Gates is registered as an investment adviser representative in California, since May 2026.
- CaliforniaSince 22 May 2026
Examinations
No examinations are on Alex Gates’s record.
- CRD
- 6842445
- Firm
- Clayton Partners · CRD 127546
- Role
- Chief Compliance Officer
- Office
- 3160 COLLEGE AVENUE, SUITE 203, Berkeley, CA 94705
- Registration
- Investment adviser registration
- In the industry since
- May 2026
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- claytonpartners.com
Where does Alex Gates work?
Alex Gates has been Chief Compliance Officer of Clayton Partners LLC since July 2017, and is a control person of the firm.
Is Alex Gates a financial advisor?
Yes. Alex Gates has a current investment-adviser registration in California, through Clayton Partners since May 2026.
How many years of experience does Alex Gates have?
Alex Gates has 0 years in the financial industry, since May 2026, across 1 adviser firm.
Where is Alex Gates based?
Alex Gates’ registered office is in Berkeley, CA.
Is Alex Gates registered with FINRA?
No. Alex Gates has no current broker registration.
Is Alex Gates a CFA charterholder?
Clayton Partners lists Alex Gates with the CFA credential (“CFA”) on its website. CFA Institute confirms certification status.
How can I verify Alex Gates’ record?
Search CRD 6842445 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Alex Gates’ full registration record.
