# Swales Financial LLC

> Swales Financial LLC is a state-registered investment advisory firm, registered since 2020, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 309033
- Filed as: SWALES FINANCIAL LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Colorado
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/309033
- AdvisorCensus page: https://advisorcensus.com/firm/swales-financial-llc-309033

## Quick answers

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

**Is Swales Financial LLC registered with the SEC or a state?**
Swales Financial LLC is a state-registered investment advisory firm, registered since 2020. Status as filed: APPROVED. CRD 309033.

**How much does Swales Financial LLC manage?**
Swales Financial LLC reports $6,038,572 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**What types of clients does Swales Financial LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (21); high net worth individuals (4).

**Does Swales Financial LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/309033

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $6,038,572
- Discretionary: $6,038,572
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 21 | $2,799,180 |
| High net worth individuals | 4 | $3,239,392 |

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

### Firm details
- Registered since: 2020 (6 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- swalesfinancial.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Swales Financial LLC (CRD 309033): Form ADV filing data as of October 2026.