SK
Swanson, Kurt Edward
State-registered
Wealth Manager · Boutique (under $100M)
CRD 164869
·
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ADV data as of Mar 05, 2026
- Regulatory AUM
- $31.2M
- Discretionary
- $0
- Clients
- 45
- Avg AUM / client
- $693K
- Accounts
- 75
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 33 | $7.6M | 24.4% |
| High net worth individuals | 12 | $23.6M | 75.6% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kurt Edward Swanson | Registered representative | Aug 2012 (14y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/05/2026 | 984 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Wells Fargo $31.2M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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 05, 2026.
View current Form ADV (SEC/IAPD) ↗