Swad Wealth Management LLC

RIASEC Registered
Total AUM
$111M
Discretionary
$111M
100% of AUM
Avg account
$578K
Accounts
192
Employees
2
Advisory reps
1

Firm details

Headquarters
Santa Rosa, California
CRD number
319218
Registered since
August 7, 2026
Website
swadwealth.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI89.25%
  • Individuals10.75%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Swad Wealth Management LLC is an independent, individually owned registered investment adviser that began SEC registration in 2026. The firm focuses on serving individual and family clients with financial planning and portfolio management for individuals and small businesses. Its billing mixes percentage-of-assets, hourly work, and fixed-fee engagements. The firm does not position itself as a capital allocator and is not identified as an active ESG investor or a multi-state adviser.

Assets & Accounts

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Investment Grade Corp Bonds 60%, Exchange Traded Equities 32%, State & Local Bonds 4%, Public Funds/Mutual Funds 3%, Other 2%, Non-Exchange Traded Equities 1%, US Government Bonds 1%, Private Funds 1%, Cash & Cash Equivalents 1%60%
  • Investment Grade Corp Bonds60%
  • Exchange Traded Equities32%
  • State & Local Bonds4%
  • Public Funds/Mutual Funds3%
  • Other2%

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Santa Rosa, CA

Sonoma

Location

Santa Rosa, CA

Headquartered in Santa Rosa, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
Sonoma
Address
100 Stony Point Rd
Time zone
PT (UTC-8)
Office locations

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