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Whiteswan Trading Corporation
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$6,000
Clients
2
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
2
Very LowAverage account size
$3,000
About
Whiteswan Trading provides investment advisory services, financial planning, and ongoing portfolio management to individuals and businesses, and also offers insurance and real estate services through licensed activity. The firm offers hourly consultations and fixed-fee planning engagements and manages client accounts under written advisory agreements.
The firm’s investment approach emphasizes value investing and strategic asset allocation with a primarily long‑only orientation, and it uses a mix of charting, fundamental and technical analysis to inform decisions. Accounts are actively monitored and may be managed on a discretionary basis, with the ability for clients to impose reasonable investment restrictions tailored to individual objectives.
What distinguishes Whiteswan Trading is the combination of advisory services with licensed insurance and real estate activities — the firm discloses receiving commissions from insurance companies and real estate brokers — and the availability of performance-based fee arrangements governed by a high‑water mark. Those features are notable alongside the firm’s very small reported assets under management and limited client base, a structure that can introduce additional conflicts of interest between commission-based sales and advisory compensation.
Client services
Financial planning
Portfolio management
Expertise
Cash flow / budgeting
College savings (529s, UTMA, etc.)
General retirement planning
Fee options
Financial planning fees range from $500 to $3,000 depending on complexity
$200 per hour for regular appointment; $300 per hour for urgent appointment
For qualified clients, 15% of capital appreciation above 10% annual performance, billed quarterly; annual advisory fee of 2% also charged
Main office location
Whiteswan Trading Corporation
447 Sutter St Ste 405 Pmb 191
San Francisco CA 94108, United States
Number of offices
1
Most active in
Whiteswan Trading Corporation has reported serving >5 clients in these states in the last 12 months.
California
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.
Real estate agent
They facilitate real estate transactions and may earn commissions.
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.
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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.
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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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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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