$6.0M Total AUM
$6.0M Disc. AUM
-- 3Y CAGR
1 Employees
32 ADV. Clients
5 yrs Firm Age
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- Custodian
- Interactive Brokers · Morgan Stanley
- Clients
- Retail
- Platforms
- --
- Established Date
- 08-31-2020
- Office Locations
- 1
Office Locations
-- Erie CO
About Swales Financial LLC
Swales Financial is an independent fiduciary RIA providing financial planning and portfolio management for retail clients. The firm’s portfolios emphasize ETFs and fixed income (including U.S. government/agency and municipal bonds) with an asset-allocation and risk-management orientation. Custody relationships include Interactive Brokers and Morgan Stanley.
Team overview
40 AVG AGE
$6.0M AVG AUM / ADVISOR
$188.7K AVG AUM / CLIENT
5.9 yrs AVG TENURE
1 Employees
1 Advisory Reps
1 RIA Reps
5yrs Firm Age
Insights
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Asset Classes
Available
Custodian
Available
Investment Themes
Available
Investment Vehicles
Available
Services
Available
Owner & Executives
CHRISTOPHER PAUL SWALES
Chief Compliance Officer, Financial Advisor, Managing Member
- CRD
- #5023622
- Ownership
- 75% or more
Available
Available
Available
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Total AUM
Discretionary
Non-Discretionary
No AUM history available
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $6,038,572 | -- |
| Non-Discretionary | $0 | -- |
| Total | $6,038,572 | -- |
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Separately Managed Accounts
Total SMA Asset: Available
U.S. Government/Agency:
Available Equity - Exchange:
Available Cash:
Available Municipal Bonds:
Available Corporate - Investment Grade:
Available Corporate - Non-Investment Grade:
Available | Asset class | Assets | Assets % |
|---|---|---|
| U.S. Government/Agency | Available | Available |
| Equity - Exchange | Available | Available |
| Cash | Available | Available |
| Municipal Bonds | Available | Available |
| Corporate - Investment Grade | Available | Available |
| Corporate - Non-Investment Grade | Available | Available |
| Total | Available | Available |
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