Swad Wealth Management LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$97,923,843
Clients
46
59% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
46
HighAverage account size
$2,128,779
About
The firm provides financial planning, investment management and ERISA services for individuals (including high‑net‑worth clients), trusts, estates, charitable organizations, corporations and other business entities. Services are delivered on an ongoing, discretionary basis and include both written financial plans and continuous portfolio oversight.
Investment decisions are guided by firm-developed strategic and dynamic model portfolios as well as custom allocations, using fundamental and quantitative analysis to align risk and return with client objectives. The firm employs a broad investment toolkit — including ETFs, individual equities and bonds, options, private placements, non‑traded REITs, managed futures and annuity products — and integrates financial planning with portfolio management and periodic rebalancing.
Noteworthy operational features include a published satisfaction guarantee offering a refund of advisory fees in dissatisfied cases and hands‑on assistance implementing fee‑based annuity contracts (including carrier selection and application support) with separate handling of annuity holdings. The firm also participates in external referral networks and notes that its lead advisor holds an insurance license (without receiving insurance commissions), which, together with ERISA services, differentiates its service mix from many solo independent advisers.
Client services
Financial planning
Portfolio management
Expertise
General retirement planning
Charitable giving & philanthropy
Income planning
Annuities
Options & derivatives strategies
Fee options
Financial Planning Only Service monthly flat fee: $800/month; one-time flat fees for project-based financial planning range $2,000-$20,000
$0 - $3,000,000: 1.00% annually $3,000,000.01 - $5,000,000: 0.75% annually $5,000,000.01 - $15,000,000: 0.50% annually $15,000,000.01+: 0.25% annually
Hourly rate for project-based financial planning: $500/hour
Account minimum: $20,000 per year minimum fee for investment management services (no minimum account size) Minimum fee: $20,000 per year minimum fee for investment management services Fee-only: Financial Planning Only Service offered as $800/month flat fee; also project-based one-time engagements at $500/hour or flat fees ranging from $2,000 to $20,000
Main office location
Swad Wealth Management LLC
100 Stony Point Rd, Suite 244
Santa Rosa CA 95401, United States
Number of offices
1
Most active in
Swad Wealth Management LLC has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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