Schwantes Financial, LLC

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Client assets under management

$50,456,728

Clients

14% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$600,675

About

Schwantes Financial provides ongoing discretionary portfolio management to individuals, families, and businesses. The firm manages about $50 million for roughly 80–90 clients through a two-advisor practice and primarily serves individual (non‑high‑net‑worth) clients rather than a high‑net‑worth segment.

The firm’s investment approach is grounded in modern portfolio theory and seeks globally diversified portfolios implemented mainly with mutual funds and exchange‑traded funds, supported by fundamental security analysis and market‑cycle considerations. Schwantes Financial typically manages accounts on a discretionary basis, may use margin and options in some strategies, and charges asset‑based fees for its services.

Noteworthy aspects include the firm’s explicit absence of a high‑net‑worth client focus and a requirement that client assets be maintained with a specific qualified custodian, from which the firm receives institutional support services. The advisory practice was formed recently but is led by principals with extended industry experience and operates with policies such as declining to vote client proxies and limited fee negotiation reserved for select legacy or family relationships.

Client services

Portfolio management

Expertise

Active portfolio management Options & derivatives strategies

Fee options

Percentage

$0 - $1,000,000: 1.00% annually $1,000,001 - $2,000,000: 0.60% annually $2,000,001 - $3,000,000: 0.50% annually $3,000,001+: 0.40% annually

Main office location

Schwantes Financial, LLC

8655 College Boulevard

Overland Park KS 66210, United States

Number of offices

Most active in

Arkansas · Kansas · Missouri · Texas · Wisconsin

Disclosures

Business activities & affiliations

Is not 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.

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

Form ADV Part 2: Client Brochure

Quick links

Facebook Website 913-521-2384

Advisors at this firm

Nathan S

Series 65

Overland Park, KS

Schwantes Financial, LLC

Nathan Schwantes is a financial advisor at Schwantes Financial, LLC in Overland Park, KS, holding a Series 65 designation with four years of industry experience. He previously worked at S&A Financial Services, Inc. for 13 years and has been involved with North Star Events, LLC for over two decades. Schwantes Financial is a small, state-registered investment adviser serving individuals, families, businesses, and retirement plans. The firm employs modern portfolio theory to construct globally diversified portfolios using mutual funds and ETFs, and incorporates fundamental security and market cycle analysis in its investment process.

Active portfolio management Options & derivatives strategies

Ronald S

CFP®, Series 63, Series 65

Overland Park, KS

Schwantes Financial, LLC

Ronald Schwantes is a CFP® professional with 30 years of industry experience. He is currently with Schwantes Financial, LLC, which he joined in 2024. His prior experience includes roles at Cambridge Investment Research, Inc. and S&A Financial Services, Inc. Schwantes Financial is a state-registered investment adviser serving individuals, families, businesses, and retirement plans. The firm manages approximately $45.9 million across about 87 clients, using a modern portfolio theory-based approach with diversified mutual funds and ETFs, supplemented by fundamental and market cycle analysis.

Active portfolio management Options & derivatives strategies

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