Sword and Shield Solutions LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Sword and Shield Solutions is a single‑advisor independent investment advisory firm that offers non‑discretionary asset management and financial planning services, including full financial plans and an ongoing planning subscription with monthly Q&A and quarterly strategy calls. The firm’s Form ADV reports $300,000 of non‑discretionary assets under management and a single client, and it may also recommend third‑party managers for portions of client portfolios.
The firm follows client‑approved investment strategies using methods such as fundamental, technical, charting and cyclical analysis, and it obtains prior client approval before executing transactions. When appropriate it refers clients to third‑party managers, monitors those managers’ performance and delivers the managers’ disclosure materials to clients; the firm receives referral fees for these TPM placements.
Distinctive features disclosed in the brochure include the principal’s outside business activities as a licensed insurance agent (approximately 20% of his time) and his role as an investment consultant to a third‑party manager that the firm refers to clients, both of which create disclosed conflicts of interest. Combined with the very small client base and sole‑advisor structure, these affiliations and revenue sources differentiate the firm from many peers and are points prospective clients should review.
Client services
Expertise
Fee options
Fixed fee between $500 and $2,500 for financial planning; fixed monthly fee of $100 for ongoing financial planning
$0 - $1,000,000: 1.00% annually $1,000,000.01 - $5,000,000: 0.90% annually Over $5,000,000+: 0.80% annually
Insurance commissions from sales of investment related products by licensed insurance agents (approximately 20% of time spent by managing member)
Main office
Savage MN
Advisors at this office
1
Most active in
Minnesota
Also doing business as
Sword And Shield Solutions LLC · The Market Forge
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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
Quick links
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