Adam Swanda
Adam Swanda is a registered investment advisor at LPL Financial LLC, based in New Richmond, WI, with 28 years of industry experience. Adam is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
248 S Knowles Ave, New Richmond, WI, 54017
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2011Other Business Activities
Adam operates St. Croix Financial Services as a DBA for his LPL business, dedicating full-time hours to it. He also owns rental real estate, but it requires minimal time commitment.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
Sentra Securities CORP
Sentra Securities CorporationBroker
Moloney Securities CO., INC.Broker
Transamerica Financial Resources, INC.Broker
State Registrations14 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.
Exams
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