# SWP Investment Management LLC

> SWP Investment Management LLC is an SEC-registered investment advisory firm in Independence, OH, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 16, 2026.

- CRD: 331314
- Filed as: SWP INVESTMENT MANAGEMENT LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Independence, OH
- Filing period: October 2026
- Form ADV filing dated: March 16, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/331314
- AdvisorCensus page: https://advisorcensus.com/firm/swp-investment-management-llc-independence-oh-331314

## Quick answers

**How is SWP Investment Management LLC compensated?**
On its Form ADV (Item 5.E, October 2026), SWP Investment Management LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is SWP Investment Management LLC located?**
SWP Investment Management LLC's principal office is in Independence, OH, according to its Form ADV.

**Is SWP Investment Management LLC registered with the SEC or a state?**
SWP Investment Management LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 331314.

**How much does SWP Investment Management LLC manage?**
SWP Investment Management LLC reports $138,428,164 in regulatory assets under management in its Form ADV filing dated March 16, 2026 (100% discretionary).

**How have SWP Investment Management LLC's assets and staff changed since 2024?**
In the Form ADV data for SWP Investment Management LLC: Regulatory assets under management: $0 in the October 2024 data and $138,428,164 in the October 2026 data. Total employees: 6 in October 2024 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does SWP Investment Management LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (1).

**Does SWP Investment 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/331314

**Does SWP Investment Management LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 16, 2026 says: "There are no account minimums."

**What changed in SWP Investment Management LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 6 to 5. Regulatory assets under management went from $84,090,781 to $138,428,164 (+65%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 16, 2026)

- Account minimum: None

> There are no account minimums.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $138,428,164
- Discretionary: $138,428,164
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $138,428,164 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2024 (2 years)
- Employees: 5 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: OH
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $0 | 6 | September 24, 2024 |
| October 2025 | $84,090,781 | 6 | January 31, 2025 |
| October 2026 | $138,428,164 | 5 | March 16, 2026 |

Regulatory assets under management: $0 in the October 2024 data and $138,428,164 in the October 2026 data.
Total employees: 6 in October 2024 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 6 to 5.
- Regulatory assets under management went from $84,090,781 to $138,428,164 (+65%).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. SWP Investment Management LLC (CRD 331314): Form ADV filing data as of October 2026.