TrueAdvisor
TrueAdvisor
AS
ChFC
AS
ChFC

Ann Swartz

Integrated Wealth Concepts LLC
35 Years of Experience
Rockland, MA
Broker
View SEC Summary
View SEC Summary

Ann Swartz is a ChFC-designated registered investment advisor at Integrated Wealth Concepts LLC, based in Rockland, MA, with 35 years of industry experience. Ann is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 9 more. Their firm serves 29,848 clients with $24B in assets under management.

Integrated Wealth Concepts LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
480 advisors
Number of Clients
29,848 clients
Average Client Portfolio
$790K average
Assets Under Management
$23.6B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees range up to 2.25% depending on the size of the relationship and service complexity. Certain wrap fee program tiers feature lower asset-based rates ranging from 0.15% to 0.30%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

300 Ledgewood Place, Suite 100, Rockland, MA, 02370

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

Ann operates her LPL business through Integrated Financial Partners and provides investment advisory services through Integrated Wealth Concepts LLC. She dedicates all of her time to these investment-related activities.

Employment History
Current Registrations
Integrated Wealth Concepts LLC
October 2016 - Present · 10 yrs
LPL Financial LLC
September 2016 - Present · 10 yrs 1 mo
LPL Financial LLCBroker
September 2016 - Present · 10 yrs 1 mo
Previous Registrations
Lincoln Financial Advisors Corporation
March 2014 - October 2016 · 2 yrs 7 mos
Lincoln Financial Advisors CorporationBroker
March 2014 - October 2016 · 2 yrs 7 mos
New England Securities Corporation
December 2002 - April 2013 · 10 yrs 4 mos
New England SecuritiesBroker
June 2001 - April 2013 · 11 yrs 10 mos
Mutual of Omaha Investor Services, INC.Broker
December 1989 - June 2001 · 11 yrs 6 mos
State Registrations17 states
CACTDCFLILKYMAMDMENHNJNYPARISCTXVA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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