Sword and Shield Solutions LLC

Sword and Shield Solutions is a single‑advisor independent investment advisory firm that offers non‑discretionary asset management and financial planning services, including full financial plans and an ongoing planning subscription with monthly Q&A and quarterly strategy calls. The firm’s Form ADV reports $300,000 of non‑discretionary assets under management and a single client, and it may also recommend third‑party managers for portions of client portfolios.

The firm follows client‑approved investment strategies using methods such as fundamental, technical, charting and cyclical analysis, and it obtains prior client approval before executing transactions. When appropriate it refers clients to third‑party managers, monitors those managers’ performance and delivers the managers’ disclosure materials to clients; the firm receives referral fees for these TPM placements.

Distinctive features disclosed in the brochure include the principal’s outside business activities as a licensed insurance agent (approximately 20% of his time) and his role as an investment consultant to a third‑party manager that the firm refers to clients, both of which create disclosed conflicts of interest. Combined with the very small client base and sole‑advisor structure, these affiliations and revenue sources differentiate the firm from many peers and are points prospective clients should review.