Swales Financial LLC
Firm details
- Headquarters
- ,
- CRD number
- 309033
- Website
- www.swalesfinancial.com
- Custodians
- INTERACTIVE BROKERS LLC
- Fee structure
- Percentage of AUM, Fixed Fees
- Client types
- HNWI53.65%
- Individuals46.35%
- Services
- Financial PlanningPortfolio Management for Individuals
Firm profile
FINTRXOverview
Swales Financial LLC is a small, independent registered investment adviser operating as a limited liability company under individual ownership. The firm focuses on serving individual and family clients and provides financial planning alongside portfolio management for individuals and small businesses. Its billing combines percentage-of-assets and fixed-fee arrangements. According to filings, Swales Financial does not position itself as an ESG investor, multi-state adviser, pension consultant, or capital allocator.
Assets & Accounts
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- US Government Bonds30%
- Exchange Traded Equities29%
- Cash & Cash Equivalents13%
- State & Local Bonds12%
- Investment Grade Corp Bonds9%
Contacts
1 of 1
Christopher Swales
Investment Adviser RepresentativeCRD 5023622
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
, null
Location
, null
Headquartered in , null.
- Office locations