Swad Wealth Management provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 26–50 clients last fiscal year.
Swad Wealth Management reports 48 clients. They include 29 high-net-worth individuals and 19 individual clients. Of its assets, 100.0% ($111M across 192 accounts) are managed with discretion. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 40% | 11% |
| High-net-worth individuals | 60% | 89% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 19 | $11.9M | 10.7% | $628K |
| High-net-worth individuals | 29 | $99.1M | 89.3% | $3.42M |
| Total | 48 | $111M | 100% | $2.31M |
- Clients
- 19
- Regulatory AUM
- $11.9M
- AUM share
- 10.7%
- Avg. per client
- $628K
- Clients
- 29
- Regulatory AUM
- $99.1M
- AUM share
- 89.3%
- Avg. per client
- $3.42M
Total
- Clients
- 48
- Regulatory AUM
- $111M
- AUM share
- 100%
- Avg. per client
- $2.31M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Swad Wealth Management charges 0.25%–1.00% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and has a $20,000 annual minimum. The brochure also prices 3 other services, listed under fee details.
| Asset band | Annual rate |
|---|---|
| $0–$3M | 1.00% |
| $3M–$5M | 0.75% |
| $5M–$15M | 0.50% |
| $15M and above | 0.25% |
Fee details and sources
Other fees
- Annuity Products
- Annuity products are charged a flat 1.00% annual rate of account value, outside the tiered schedule.
- Financial Planning Only Service
- Flat fee of $800 per month, billed monthly in advance and negotiable at the Firm's sole discretion.
- One-Time Financial Planning
- Hourly rate of $500, or a flat fee of $2,000 to $20,000 for a narrow-scope engagement, negotiable.
It has 2 employees.
Leadership
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- 1 insurance agent
Besides its headquarters, Swad Wealth Management has 0 offices, with 1 listed address in 1 state.
California · 1 listed address
- 100 Stony Point RD, Suite 244, Santa RosaHQ
Contact and registration details
- Legal name
- Swad Wealth Management, LLC
- Headquarters
- 100 Stony Point RD, Suite 244, Santa Rosa, CA 95401
- Website
- Not reported
- Phone
- 707-899-1010
- SEC file
- 801-137035
- Structure
- California LLC
- Fiscal year end
- December
Swad Wealth Management has custody of $17.3M for 8 clients.
At year end, Swad Wealth Management’s separately managed accounts were mostly in bonds (65%) and stocks (33%).
What the accounts hold
- Stocks33%
- Exchange-traded equities32%
- Non-exchange-traded equities1%
- Funds4%
- Registered funds3%
- Pooled vehicles1%
- Bonds65%
- Investment grade corporate bonds60%
- State and local bonds4%
- U.S. government and agency bonds1%
- Cash1%
- Other2%
- Fee only annuities2%
How many clients does Swad Wealth Management have?
Swad Wealth Management has 48 clients and manages $111 million for them, as of July 2026. They include 29 high-net-worth individuals and 19 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 8 July 2026
What services does Swad Wealth Management offer?
Swad Wealth Management provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Swad Wealth Management charge?
Swad Wealth Management charges 0.25%–1.00% a year for its Investment Management Services. Each asset band is charged at its own rate. The fee is billed in arrears, is negotiable and has a $20,000 annual minimum.
Source: FORM ADV PART 2A - SWAD WEALTH MANAGEMENT, LLC, filed 8 July 2026
How many financial advisors does Swad Wealth Management have?
Swad Wealth Management has 2 investment adviser representatives 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 Swad Wealth Management invest in?
At the end of its last fiscal year, Swad Wealth Management’s separately managed accounts held 60% investment grade corporate bonds, 32% exchange-traded equities, 4% state and local bonds, 3% registered funds (mutual funds, ETFs, BDCs), 2% other, 1% non-exchange-traded equities, 1% U.S. government and agency bonds, 1% pooled vehicles (private funds and similar) and 1% cash and equivalents. The 2% other category is described as: Fee Only Annuities.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
How does Swad Wealth Management get paid?
Swad Wealth Management is paid through a percentage of assets under management, hourly charges and fixed fees. 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 Swad Wealth Management?
Swad Wealth Management’s main office is at 100 Stony Point RD, Suite 244, Santa Rosa, CA 95401. Its phone number is 707-899-1010.