Sweeney & Michel, Llc
- Regulatory AUM
- $753M
- Discretionary
- $732M
- Clients
- 688
- Avg AUM / client
- $1.1M
- Accounts
- 1,571
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 05, 2026
Investments (13F portfolio — 145 positions, $340,122,195)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Ishares Tr | CORE S&P TTL STK | $29,827,453 | 198,413 | 8.77% | 3.96% |
| 2 | Ishares Tr | CORE DIV GRWTH | $27,727,458 | 383,559 | 8.15% | 3.68% |
| 3 | Ishares Tr | CORE HIGH DV ETF | $21,012,841 | 156,369 | 6.18% | 2.79% |
| 4 | Alphabet Inc | CAP STK CL C | $20,526,505 | 64,304 | 6.04% | 2.73% |
| 5 | Apple Inc | COM | $19,567,255 | 75,491 | 5.75% | 2.6% |
| 6 | Ishares Tr | 0-5YR HI YL CP | $14,243,412 | 334,981 | 4.19% | 1.89% |
| 7 | Capital Group International | SHS | $11,620,101 | 324,312 | 3.42% | 1.54% |
| 8 | Capital Group Dividend Growe | SHS ETF | $10,655,378 | 286,127 | 3.13% | 1.42% |
| 9 | Vanguard Whitehall Fds | INTL HIGH ETF | $10,375,785 | 104,785 | 3.05% | 1.38% |
| 10 | Berkshire Hathaway Inc Del | CL B NEW | $9,682,551 | 20,164 | 2.85% | 1.29% |
| 11 | Johnson & Johnson | COM | $7,164,361 | 30,107 | 2.11% | 0.95% |
| 12 | Trico Bancshares | COM | $6,317,968 | 126,082 | 1.86% | 0.84% |
| 13 | Costco Wholesale Corporation | COM | $5,901,539 | 6,017 | 1.74% | 0.78% |
| 14 | Microsoft Corp | COM | $5,894,233 | 15,335 | 1.73% | 0.78% |
| 15 | Vanguard Whitehall Fds | HIGH DIV YLD | $5,718,513 | 37,330 | 1.68% | 0.76% |
| 16 | Vanguard Whitehall Fds | INTL DVD ETF | $5,534,481 | 60,315 | 1.63% | 0.74% |
| 17 | Fidelity Covington Trust | MSCI UTILS INDEX | $5,415,010 | 90,613 | 1.59% | 0.72% |
| 18 | Jpmorgan Chase & Co | COM | $5,375,135 | 17,136 | 1.58% | 0.71% |
| 19 | Ea Series Trust | FREEDOM 100 EM | $4,502,170 | 74,404 | 1.32% | 0.6% |
| 20 | Amazon Com Inc | COM | $3,635,533 | 15,155 | 1.07% | 0.48% |
| 21 | Ishares Inc | CORE MSCI EMKT | $3,609,273 | 48,162 | 1.06% | 0.48% |
| 22 | Nvidia Corporation | COM | $3,591,836 | 18,973 | 1.06% | 0.48% |
| 23 | Blackrock Etf Trust Ii | ISHARES SHORT-TE | $3,373,277 | 66,910 | 0.99% | 0.45% |
| 24 | Kinder Morgan Inc Del | COM | $3,202,608 | 99,863 | 0.94% | 0.43% |
| 25 | Prologis Inc. | COM | $3,143,102 | 22,917 | 0.92% | 0.42% |
Top 25 of 145 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 526 | $272M | 36.2% |
| High net worth individuals | 101 | $357M | 47.5% |
| Pension and profit sharing plans | 25 | $58.7M | 7.8% |
| Charitable organizations | 7 | $21.7M | 2.89% |
| Corporations and other businesses | 29 | $42.6M | 5.67% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Modern Building, Inc. 401(k) Profit Sharing Plan Modern Building, Inc. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Daniel Sweeney | Managing Member | CFP | Mar 2016 (10y) | 50% – 75% |
| Renee Ann Michel | Managing Member/Chief Compliance Officer | Mar 2016 (10y) | 50% – 75% | |
| Katie Junk | Registered representative | Jul 2020 (6y) |
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 |
|---|---|---|---|---|
| Modern Building, Inc. 401(k) Profit Sharing Plan | Modern Building, Inc. | 107 | $8.6M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/05/2026 | 910 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Fidelity Brokerage Services $687M (91% 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 05, 2026.
View current Form ADV (SEC/IAPD) ↗