The Swanson Financial Group

The Swanson Financial Group serves individual and high-net-worth clients with financial planning, consulting, and investment management, and the firm also offers insurance products through an affiliated insurance practice. It provides both one-time written financial plans and ongoing advisory services, and does not state a minimum account size for advisory clients.

The firm constructs individualized portfolios using asset allocation principles and modern portfolio theory, tailoring accounts to clients’ risk tolerance and investment policy parameters such as tax efficiency and concentrated positions. Most accounts are managed on a non-discretionary basis—client authorization is obtained before trades are executed—and the brochure reports roughly $31.17 million in client assets held at third‑party custodians.

Distinctive features disclosed in the brochure include the principal’s role as an independent life insurance agent (engaging in that activity about 5–10% of the time) and the firm’s emphasis on non‑discretionary management, both of which the firm identifies as potential conflicts and addresses in its disclosures. The brochure also notes prior regulatory/financial matters of relevance to the principal’s background: a Chapter 7 bankruptcy in 1998 (discharged) and a 2009 customer complaint resolved by payment toward a settlement.