Swan Retirement Strategies
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$45,166,000
This total excludes 8 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
155
17% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
155
Very HighAverage account size
$291,394
About
SWAN Retirement Strategies provides investment advisory and financial planning services to individuals and high net worth individuals. Its services include portfolio management and managed account programs, recommendations and allocations across cash, stocks, mutual funds, bonds and annuities, and preparation of written investment strategies.
The firm tailors advice to each client’s goals, time horizon and risk tolerance and may manage accounts on a discretionary basis after a signed agreement. SWAN’s stated methods include asset allocation, dollar‑cost averaging, technical analysis and both long‑ and short‑term purchase strategies, and it may use third‑party sub‑advisors or wrap‑fee programs to implement client portfolios.
The brochure notes the firm was newly established in July 2024 and currently reports no assets under management, a notable operational detail for a solo independent adviser. The firm’s principal is also a licensed insurance agent who may offer commissionable insurance products (the brochure discloses up to 30% of the principal’s time can be spent on insurance activities) and the firm discloses its supervisory role and potential conflicts when recommending sub‑advisors or insurance solutions.
Client services
Financial planning
Portfolio management
Selection of other advisers
Educational seminars or workshops
Expertise
Annuities
General estate planning guidance
Cash flow / budgeting
Fee options
$1,000 to $10,000 per project for financial planning
$0 - $1,000,000: 1.25% $1,000,000 - $5,000,000: 1.00% $5,000,000+: 0.75%
$100 - $1,000 per hour, negotiable
Main office location
Swan Retirement Strategies
2553 Fruitville Road
Sarasota FL 34237, United States
Number of offices
1
Most active in
Swan Retirement Strategies has reported serving >5 clients in these states in the last 12 months.
Florida
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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
-
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
Quick links
Not sure where to start?
We'll help you think it through – whether you ultimately need an advisor or not.
Warmer provides personalized recommendations and introductions to independent fiduciary advisors. We do not supervise advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
Each advisor listed on our site is an independent fiduciary responsible for their own advice. Warmer may receive fees from advisors for participation or referrals; these fees are paid by advisors and do not affect the fees clients pay for advisory services.
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. Please review an advisor's Form ADV and do your own diligence before entering into an advisory relationship.
By using our service, you agree to Warmer's Terms of Service and Advisory Agreement and Privacy Policy. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. ("Warmer")