Schwantes Financial, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Schwantes Financial provides discretionary portfolio management and related reporting for individuals, families, and businesses, tailoring each engagement through a pre-engagement assessment. The two-advisor firm manages roughly $50.5 million across about 84 client relationships and charges asset-based (percentage‑of‑AUM) fees; it does not offer wrap or performance-based fee programs.
The firm implements a globally diversified investment approach informed by modern portfolio theory, primarily using mutual funds and exchange-traded funds while applying fundamental analysis as well as market trend and economic cycle analysis. Portfolios are managed on a discretionary basis with documented risk profiles, regular reviews, and the ability to use strategies that include long- and short-term holdings, margin, and options where appropriate.
Notably, Schwantes Financial focuses on non‑high‑net‑worth individual clients — an orientation that is less common among similar supported firms — and was formed recently while drawing on principals’ longstanding industry experience. The firm requires clients to custody assets with a designated broker-dealer (providing access to institutional services and operational support) and does not vote client proxies, leaving proxy solicitations to clients.
Client services
Expertise
Fee options
$0 - $1,000,000: 1.00% annually $1,000,001 - $2,000,000: 0.60% annually $2,000,001 - $3,000,000: 0.50% annually $3,000,001+: 0.40% annually
Main office
8655 College Boulevard
Overland Park KS 66210
Advisors at this office
2
Most active in
Arkansas · Kansas · Missouri · Texas · Wisconsin
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Nathan S
Series 65
Overland Park, KS
Schwantes Financial, LLC
Nathan Schwantes is a financial advisor at Schwantes Financial, LLC with five years of industry experience. He holds a Series 65 designation and previously worked at S&A Financial Services, Inc. for 13 years. Outside of financial advising, he has a long-standing involvement with North Star Events, LLC. Schwantes Financial, LLC manages discretionary portfolios for individuals, families, and businesses using a globally diversified investment approach based on modern portfolio theory. The firm serves primarily non-high-net-worth clients and emphasizes tailored risk profiles and regular portfolio reviews.
Ronald S
CFP®, Series 63, Series 65
Overland Park, KS
Schwantes Financial, LLC
Ronald Schwantes is a CFP® with over 31 years of experience in the financial industry. He is currently with Schwantes Financial, LLC, which he joined in 2024, and previously worked at Cambridge Investment Research, Inc. for 19 years and S&A Financial Services, Inc. for 29 years. Schwantes Financial, LLC is a two-advisor firm that provides discretionary portfolio management for individuals, families, and businesses. The firm employs a globally diversified investment approach using mutual funds and ETFs, applying fundamental, market trend, and economic cycle analysis, and serves primarily non-high-net-worth clients.
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