A complete list of active advisors currently associated with Swales Financial LLC

Warmer can help you find a great advisor at Swales Financial LLC or one who fits your needs even better.

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.

To learn more about the advisors currently working at Swales Financial LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.