Swisher Financial Concepts, Inc.
- Regulatory AUM
- $317M
- Discretionary
- $199M
- Clients
- 640
- Avg AUM / client
- $495K
- Accounts
- 1,455
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 554 | $139M | 43.8% |
| High net worth individuals | 86 | $176M | 55.4% |
| Charitable organizations | Fewer than 5 clients | $690K | 0.22% |
| Corporations and other businesses | Fewer than 5 clients | $1.8M | 0.56% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Salo Incorporated 401(k) Plan Salo Inc. | 2024 |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Daniel Edward Wolford | President | CFP | Oct 2002 (24y) | 75% or more |
| Michael A Henn | Director Of Investments | CFP | Jan 2008 (19y) | 10% – 25% |
| Brett Scott Vandervort | Director Of Operations And Chief Compliance Officer | Jan 2017 (10y) | 5% – 10% | |
| Zachary Allen Kountz | Vice President And Secretary | CFP | Jan 2017 (10y) | 5% – 10% |
| Christopher Aaron Brubaker | Registered representative | Feb 2024 (3y) |
Undisclosed: 0% – 5% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Salo Incorporated 401(k) Plan | Salo Inc. | 612 | $27.5M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/12/2026 | 996 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $317M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 12, 2026.
View current Form ADV (SEC/IAPD) ↗