SWISHER FINANCIAL CONCEPTS, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	Ohio, United States

Employees

Total Number of Employees	7
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	1
Registered State Investment Advisers	4
Licensed Agents of an Insurance Company	5
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	909	$126.7M
Non-Discretionary	335	$96.0M
Total	1,244	$222.7M

Clients

Type	Number	RAUM
Individuals	520	$105.4M
HNW Individuals	63	$116.2M
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	0	$0
Charitable organizations	<5	$331,868
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	<5	$788,413
Other	0	$0

Type	Number
No. of Non-RAUM Clients	11
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	26-50

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businessesPension consulting services
Compensation	% of AUMHourly chargesCommissions
Other Business Activities	Insurance broker or agentAccountant or accounting firm

Identifiers

SEC RIA File Number	801-115211
SEC ERA File Number	801-115211
SEC CIK Numbers	1947503
SEC CRD Numbers	121384
Legal Entity Identifier	None

Principal Office

612 OFFICE PARKWAY
SUITE B
WESTERVILLE
OH
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic