Swales Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,038,572
Clients
25
16% 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
25
TypicalAverage account size
$241,543
About
Swales Financial LLC is a small independent adviser that provides discretionary and non‑discretionary portfolio management and financial planning to individual and high‑net‑worth clients. The firm reports managing approximately $6.04 million across about 25 client accounts and documents client objectives in individualized Investment Policy Statements.
The firm’s investment process combines fundamental analysis, Modern Portfolio Theory, and technical analysis, implemented through long‑term trading and selective use of options alongside equities, fixed income, ETFs, REITs, TIPS and non‑U.S. securities. The brochure states derivatives and options may be used in client accounts — generally for hedging and covered‑call strategies — as part of its portfolio construction and risk‑management approach.
Compared with many solo independent advisers, Swales Financial is atypical in explicitly using derivatives in separately managed accounts and in requiring clients to custody assets at a single broker‑dealer, Interactive Brokers, with disclosure that the firm may receive research or other soft‑dollar benefits. The firm also provides one‑time financial planning engagements and does not utilize third‑party investment advisers, keeping investment selection and implementation in‑house.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Fee options
Financial planning fees between $1,000 and $5,000
$0 - $500,000: 1.25% $500,000 - $1,000,000: 1.00% $1,000,000+: 0.75%
Main office location
Swales Financial LLC
Erie CO, United States
Number of offices
1
Most active in
Swales Financial LLC has reported serving >5 clients in these states in the last 12 months.
Colorado
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:
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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
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