David Swanson is a registered investment advisor at Highpoint Planning Partners, based in Naperville, IL, with 25 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 1 more. Their firm serves 8,096 clients with $4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
HighPoint Advisor Group charges an annual fee based on the value of your portfolio, ranging from 0% to 2.20%. This fee is billed quarterly in advance. If you end your agreement before the quarter is over, you'll receive a prorated refund for the remaining days.
Location
280 Shuman Blvd, Suite 140, Naperville, IL, 60563
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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.
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David is a registered investment advisor through Highpoint Advisor Group, LLC, operating under multiple DBAs. He also works as a notary public, dedicating minimal time to this activity.
Employment History
Current Registrations
Highpoint Planning Partners
LPL Financial LLCBroker
Previous Registrations
Highpoint Planning Partners
Fifth Third Securities, INC.Broker
Fifth Third Securities, INC.
Lasalle Financial Services, INC.Broker
Lasalle Financial Services, INC.
AXA Advisors, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations21 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.