Financial Avengers provides financial planning, portfolio management for individuals and small businesses, and insurance. Financial planning was provided to 101–250 clients last fiscal year.
Financial Avengers reports 206 clients. They include 131 high-net-worth individuals and 75 individual clients. Of its assets, 100.0% ($488M across 787 accounts) are managed with discretion. Of its clients, 5% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 36% | 6% |
| High-net-worth individuals | 64% | 94% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 75 | $28.1M | 5.8% | $374K |
| High-net-worth individuals | 131 | $459M | 93.9% | $3.5M |
| Corporations and other businesses | Fewer than 5 | $1.74M | 0.4% | — |
| Total | 206 | $488M | 100% | — |
- Clients
- 75
- Regulatory AUM
- $28.1M
- AUM share
- 5.8%
- Avg. per client
- $374K
- Clients
- 131
- Regulatory AUM
- $459M
- AUM share
- 93.9%
- Avg. per client
- $3.5M
- Clients
- Fewer than 5
- Regulatory AUM
- $1.74M
- AUM share
- 0.4%
- Avg. per client
- —
Total
- Clients
- 206
- Regulatory AUM
- $488M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 5%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Financial Avengers charges 0.50%–1.50% a year for its Investment Management Services. The fee is billed in advance and is negotiable.
Fee details and sources
Thomas Swift owns 50% to 75% of Financial Avengers. The leadership team of Financial Avengers includes Chief Compliance Officer Thomas Swift. It has 2 employees.
Staff
- 2 employees
- 2 in advisory functions
- 1 state-registered rep
- 1 insurance agent
- Owns 50% to 75% of Financial Avengers, Inc.
Thomas Swift
Control person · since August 2000
- Owns 50% to 75% of Financial Avengers, Inc.
Arthur McCord
Control person · since March 2000
Financial Avengers’ regulatory assets grew 1.6× from $304M (March 2021) to $488M (March 2026); clients fell from 221 to 206 and employees were 2 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $488M | 206 | 2 | 1 |
| Mar 2025March 2025 | $433M | 214 | 2 | 1 |
| Apr 2024April 2024 | $367M | 225 | 2 | 1 |
| Mar 2023March 2023 | $312M | 216 | 2 | 1 |
| Mar 2022March 2022 | $338M | 218 | 2 | 1 |
| Mar 2021March 2021 | $304M | 221 | 2 | 1 |
Besides its headquarters, Financial Avengers has 0 offices, with 1 listed address in 1 state.
California · 1 listed address
- 827 Broadway, Suite 210, OaklandHQ
Contact and registration details
- Legal name
- Financial Avengers, Inc.
- Headquarters
- 827 Broadway, Suite 210, Oakland, CA 94607
- Website
- financialavengers.com
- Phone
- 415-773-2174
- SEC file
- 801-78015
- Structure
- California corporation
- Fiscal year end
- December
Financial Avengers’ named custodian for separately managed accounts is Charles Schwab ($488M). Financial Avengers has custody of $66.2M for 58 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Phoenix, AZ · $488M100%
At year end, Financial Avengers’ separately managed accounts were mostly in stocks (50%) and funds (46%). Its reported 13F holdings for the quarter ended 30 June 2026 total $241M across 155 positions; the largest are Nvidia Corp. (13.3%), Alphabet Inc. Class C (10.5%) and Amazon.com Inc. (10.4%).
What the accounts hold
- Stocks50%
- Funds46%
- Cash4%
How many clients does Financial Avengers have?
Financial Avengers has 206 clients and manages $488 million for them, as of March 2026. They include 131 high-net-worth individuals and 75 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Financial Avengers offer?
Financial Avengers provides financial planning, portfolio management for individuals and small businesses, and insurance.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
How much does Financial Avengers charge?
Financial Avengers charges 0.50%–1.50% a year for its Investment Management Services. The fee is billed in advance and is negotiable.
Source: DISCLOSURE DOCUMENT FOR ALL CLIENTS, filed 30 March 2026
Which custodians does Financial Avengers use?
Financial Avengers’ separately managed account assets are held at Charles Schwab & Co., Inc. (Phoenix, AZ), with $488M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does Financial Avengers have?
Financial Avengers has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Financial Avengers invest in?
At the end of its last fiscal year, Financial Avengers’ separately managed accounts held 50% exchange-traded equities, 46% registered funds (mutual funds, ETFs, BDCs) and 4% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Financial Avengers?
Financial Avengers’ direct owners are Thomas Swift (50% to 75%) and Arthur McCord (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Financial Avengers get paid?
Financial Avengers is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Financial Avengers?
Financial Avengers’ main office is at 827 Broadway, Suite 210, Oakland, CA 94607. Its phone number is 415-773-2174. Its website is financialavengers.com.