# Swad Wealth Management LLC

> Swad Wealth Management LLC is an SEC-registered investment advisory firm in Santa Rosa, CA, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 8, 2026.

- CRD: 319218
- Filed as: SWAD WEALTH MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Santa Rosa, CA
- Filing period: October 2026
- Form ADV filing dated: July 8, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/319218
- AdvisorCensus page: https://advisorcensus.com/firm/swad-wealth-management-llc-santa-rosa-ca-319218

## Quick answers

**How is Swad Wealth Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Swad Wealth Management LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is Swad Wealth Management LLC located?**
Swad Wealth Management LLC's principal office is in Santa Rosa, CA, according to its Form ADV.

**Is Swad Wealth Management LLC registered with the SEC or a state?**
Swad Wealth Management LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 319218.

**How much does Swad Wealth Management LLC manage?**
Swad Wealth Management LLC reports $111,061,079 in regulatory assets under management in its Form ADV filing dated July 8, 2026 (100% discretionary).

**What types of clients does Swad Wealth Management LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (29); individuals (other than high net worth individuals) (19).

**Which custodians does Swad Wealth Management LLC use?**
Swad Wealth Management LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Swad Wealth Management LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/319218

**What changed in Swad Wealth Management LLC's recent Form ADV filings?**
In the September 2026 filing data: Newly registered with the SEC.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $111,061,079
- Discretionary: $111,061,079
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 19 | $11,934,878 |
| High net worth individuals | 29 | $99,126,201 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2026 (0 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- swadwealth.com
- Facebook @swadwealth
- LinkedIn @81540764

## Changes in the filing (last 12 months)

### September 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Swad Wealth Management LLC (CRD 319218): Form ADV filing data as of October 2026.