SWARTHMORE ASSET MANAGEMENT LTD
Adviser information for SWARTHMORE ASSET MANAGEMENT LTD last updated from Form ADV on January 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Pennsylvania, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 41 | $44.7M |
| Non-Discretionary | 0 | $0 |
| Total | 41 | $44.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 8 | $2.9M |
| HNW Individuals | 9 | $19.5M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.7M |
| Charitable organizations | <5 | $433,726 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $1.5M |
| Other | 5 | $18.7M |
| 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 businesses |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-41752 |
|---|---|
| SEC ERA File Number | 801-41752 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108507 |
| Legal Entity Identifier | None |
Principal Office
200 WEST 16TH STREET, OFFICE 1BNEW YORK
NY
United States
Monday - Friday, 8:15 A.M. TO 4:15 P.M.
Tel: 212-741-2300, Fax: None
Chief Compliance Officer
SAMUEL N. LEVIN
PRESIDENT, CHIEF COMPLIANCE OFFICER
200 WEST 16TH STREET, OFFICE 1B
NEW YORK
NY
United States
Tel:
212-741-2300
L*******@******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEVIN, SAMUEL | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER | 05/1992 | > 75% |