SWAIMBROWN WEALTH MANAGEMENT LLC
Adviser information for SWAIMBROWN WEALTH MANAGEMENT LLC last updated from Form ADV on March 30th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | South Carolina, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 93 | $137.7M |
| Non-Discretionary | 0 | $0 |
| Total | 93 | $137.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 43 | $7.8M |
| HNW Individuals | 38 | $36.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 12 | $93.1M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-113689 |
|---|---|
| SEC ERA File Number | 801-113689 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133492 |
| Legal Entity Identifier | None |
Principal Office
301 NORTH BROAD STREETCLINTON
SC
United States
Monday - Friday, 8AM - 5PM
Tel: 864-547-8018, Fax: 864-833-5423
Websites
Chief Compliance Officer
DAVID RAMAGE
MANAGING DIRECTOR
301 NORTH BROAD STREET
CLINTON
SC
United States
Tel:
864-547-8018
Fax:
864-833-5423
D******@*******************M
(Full email address available in API data)
Regulatory Contact
J. JAY PEAY
MANAGING MEMBER
301 NORTH BROAD STREET
CLINTON
SC
United States
Tel:
864-547-8018
Fax:
864-833-5423
J****@*******************M
(Full email address available in API data)
Industry Affiliates
| PEAY AND ASSOCIATES LLC | Accountant or accounting firm |
| UPSTATE INSURANCE CONSULTANTS LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PEAY, J, JAY | Individual | – | MANAGING MEMBER | 02/2000 | > 75% |
| RAMAGE, DAVID, FRANKLIN | Individual | – | MANAGING DIRECTOR / CCO | 02/2012 | < 5% |