Swapnick, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$767,811
Clients
10
0% high-net worth
Advisors
1
of 1 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
10
LowAverage account size
$76,781
About
Swapnick, LLC is a state‑registered, fee‑only investment adviser that provides personalized portfolio management, investment consultations, and client education to individuals as well as pension and profit‑sharing plans, trusts, charitable organizations, and small businesses. The firm operates as a single‑advisor practice and generally imposes no account minimums.
Portfolios are constructed with global diversification across growth, value, fixed income and high‑yield exposures and are managed with a buy‑and‑hold discipline, periodic rebalancing, and active monitoring for material equity declines. The principal combines long‑only investing with sector rotation, and trade execution is conducted through discount custodians; the firm will require clients to use a specific broker‑dealer for transactions.
Distinctive operational features include a strict fee‑only model with no commission compensation, direct fee withdrawal from client accounts (the firm is deemed to have custody), and a written investment policy and code of ethics for each client. The principal’s background in larger financial firms and leadership of the Swapnick Community Foundation for financial literacy, together with a small, closely managed client base, distinguish the practice from larger independent advisers.
Client services
Portfolio management
Expertise
Passive / index investing
Wealth management
Fee options
0.65% annually for all assets
Fee-only: Fee-only investment management; no commissions or other compensation accepted
Main office location
Swapnick, LLC
Harrison NJ, United States
Number of offices
1
Most active in
Swapnick, LLC has reported serving >5 clients in these states in the last 12 months.
New Jersey · New York
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
Quick links
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