Daniel Swallow
Daniel Swallow is a registered investment advisor at Advisors Asset Management, INC., based in Princeton, NJ, with 34 years of industry experience. Daniel operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,867 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AAM provides investment management services for separately managed accounts. The annual fees for fixed income strategies range from 0.20% to 2.00%, and equity strategies range from 0.45% to 2.5%. Fees and services may be negotiable. AAM usually requires a minimum account size of $250,000 for fixed income strategies and $100,000 for equity strategies.
Location
300 Carnegie Center Suite 100, Princeton, NJ, 08540
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
Advisors Asset Management, INC.
Advisors Asset Management, INC.
Advisors Asset Management, INC.Broker
Previous Registrations
Claymore Advisors, LLC
Claymore Securities, INC.
Claymore Securities, INC.Broker
Nuveen InvestmentsBroker
Olde Discount CorporationBroker
Mclaughlin, Piven, Vogel Securities, INC.Broker
State Registrations3 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.