Swales Financial LLC

Overview

Swales Financial LLC is a small, independent registered investment adviser focused on fee-based planning and discretionary portfolio management for individuals, families and small business owners. The firm operates under an individual-owner structure and charges a mix of percentage-of-AUM and fixed fees. Its reported portfolio tilt is conservative: a strong preference for fixed-income instruments with U.S. government bonds representing the largest single allocation. The adviser is not positioned as a multi-state or pension consultant and does not identify as an active ESG investor. Investment activity centers on managing discretionary accounts, constructing income-oriented portfolios and blending mutual funds and separately managed account strategies to meet client goals. Custody through Interactive Brokers suggests the firm runs a streamlined custody and trading relationship that can support bond ladders, ETF or mutual fund trades, and manager overlays at modest scale.

Assets & Accounts

Investments & Alternatives

Location & Offices