SWS Advisors, inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$59,550,000
Clients
560
Advisors
7
of 7 employees
About
SWS Advisors, Inc. serves individual investors as well as corporations, businesses and charitable organizations, with the majority of its client base comprised of non–high‑net‑worth individuals. The firm manages approximately $60 million on a discretionary basis and provides portfolio management, written financial planning, and hourly or project‑based advisory services.
Investment decisions are guided by client investment policy statements and employ both fundamental and technical analysis across short‑term and long‑term strategies, with SWS executing trades on a discretionary basis within client parameters. Financial planning is offered as a standalone service and can include written plans, periodic reviews, and an optional ongoing maintenance engagement alongside account monitoring.
Compared with many peers, SWS is notable for its affiliation and common ownership with an in‑house broker‑dealer and an insurance agency; several representatives are registered with the affiliated broker‑dealer and the brochure discloses related commission conflicts and referral practices. The firm also highlights operational distinctions — it does not participate in wrap fee programs, does not maintain custody of client assets, and makes both fee‑based asset management and hourly/project engagements available.
Client services
Expertise
Fee options
Financial planning fixed fees roughly $500; ongoing maintenance $30/month
$1 - $250,000: 2.00% annually (all except variable annuities) $250,001 - $500,000: 1.75% annually (all except variable annuities) $500,001 - $750,000: 1.50% annually (all except variable annuities) $750,001 - $1,000,000: 1.25% annually (all except variable annuities) $1,000,001+: 1.00% annually (all except variable annuities) $1 - $1,000,000: 1.00% annually (variable annuities) $1,000,001+: 0.75% annually (variable annuities)
Compensation from sales of securities and insurance products by registered representatives, disclosed conflicts of interest
$250 per hour, negotiable
Ongoing financial plan maintenance $30/month
Account minimum: $100,000 Fee-only: Fixed fees for financial planning approximately $500; ongoing financial plan maintenance $30/month; hourly fees $250/hour (negotiable)
Main office
1900 Polaris Parkway, Suite 450
Columbus OH 43240
Advisors at this office
7
Most active in
Arizona · Florida · Illinois · Ohio · Pennsylvania · Texas
Also doing business as
Manex Advisors, Inc · Sws Advisors, Inc.
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.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
-
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.
-
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
Advisors at this firm
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)