Kimberly Swanson
Kimberly Swanson is a registered investment advisor at Charles Schwab & CO., INC., based in Walnut Creek, CA, with 21 years of industry experience. Kimberly operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Location
1231 S. California Blvd., Walnut Creek, CA, 94596-5122
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Kimberly is involved in real estate and property management in Orinda, California, since 2006. She is a licensed salesperson with inactive status and spends about 10-20% of her time on this activity.
Employment History
Current Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Previous Registrations
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
Deutsche Bank Securities INC.Broker
Deutsche Bank Securities INC.
AXA Advisors, LLC
AXA Advisors, LLCBroker
Progressive Asset Management, INC.Broker
Alex. Brown & Sons IncorporatedBroker
Janney Montgomery Scott INC.Broker
The Stuart-James Company, INC.Broker
State Registrations18 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.