Swales Financial LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$6,038,572
Total clients
25
16% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
25
Average account size
$241,543
About
Swales Financial LLC provides ongoing portfolio management and financial planning primarily to individual and high‑net‑worth clients. The firm documents client goals and risk tolerance in an Investment Policy Statement and offers both discretionary and non‑discretionary management alongside standalone or integrated financial plans.
Its investment process is described as goals‑driven and combines fundamental analysis, Modern Portfolio Theory, and technical analysis to set asset allocation and security selection. The brochure states the firm uses long‑term trading and options/derivative strategies (described variously as covered, uncovered, spreading strategies and also as hedging and covered calls), and it documents risk profiles for each client in an IPS.
Compared with many independent advisers, the firm’s explicit use of options and other derivatives in separately managed accounts is a distinctive practice. The firm also requires clients to custody assets at a single broker (Interactive Brokers), discloses potential receipt of research or other soft‑dollar benefits, and is managed by a CFA charterholder—features that may influence trade execution, reporting, and research access.
Client services
Financial planning
Portfolio management
Expertise
Options & derivatives strategies
Real estate investing
Wealth management
Fee options
Negotiated fixed rate between $1,000 and $5,000 for financial planning
$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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