S
Swords Capital Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$47,000,000
Total clients
67
9% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
67
Average account size
$701,493
About
The firm provides ongoing portfolio management and financial planning to individuals, high‑net‑worth individuals, and business entities, and also delivers investment management through an LPL Financial‑sponsored Strategic Wealth Management program. It reports managing about $47 million in client assets across roughly 67 client relationships.
The firm documents an Investment Policy Statement for each client and typically manages accounts on a discretionary basis, applying cyclical and fundamental analysis alongside modern portfolio theory. Portfolios emphasize equity ETFs and individual equities but may also include non‑U.S. securities, private placements, precious‑metals ETFs and derivative strategies such as options, margin trading and short sales when aligned with client objectives.
Distinctive features include a requirement that clients custody assets at LPL Financial and participation in LPL‑sponsored programs, from which the firm receives practice support and other benefits; the adviser is also dually registered as a broker‑dealer representative and as an insurance agent and accepts third‑party compensation. The firm discloses that it may pay transaction charges on certain LPL accounts on clients’ behalf and that it uses higher‑risk strategies (uncovered options, margin, short sales), factors that can present conflicts of interest and differentiate its service mix from many peers.
Client services
Financial planning
Portfolio management
Fee options
Negotiated fixed fees for financial planning between $400 and $12,500
1.50% annually
$400 per hour for financial planning services
Account minimum: $25,000 for SWM accounts; no minimum for other account types
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.
Main office location
Swords Capital Management, LLC
Blue Ridge GA, United States
Number of offices
1
Forms ADV
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