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Aaron Swanier

Kovack Advisors, INC.
21 Years of Experience
Atlanta, GA
Broker
View SEC Summary
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Aaron Swanier is a registered investment advisor at Kovack Advisors, INC., based in Atlanta, GA, with 21 years of industry experience. Aaron is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Investment Management, Retirement Planning, and 1 more. Their firm serves 13,293 clients with $6.3B in assets under management.

Kovack Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
257 advisors
Number of Clients
13,293 clients
Average Client Portfolio
$472K average
Assets Under Management
$6.3B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.90%

Maximum annual fee is 2.90%. Fees are negotiable depending on asset amount, type, complexity, and services provided. Combined fees with third-party managers will not exceed 2.90%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Atlanta, GA

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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

Aaron operates Chief Investment Group as a financial advisor, dedicating about a quarter of his time to this investment-related activity. He also serves as a co-administrator for his father's estate, spending minimal time on this non-investment related task.

Employment History
Current Registrations
Kovack Advisors, INC.
January 2015 - Present · 11 yrs 9 mos
Kovack Securities INC.Broker
October 2014 - Present · 12 yrs
Previous Registrations
Resource Horizons Group LLCBroker
January 2008 - October 2014 · 6 yrs 9 mos
Resource Horizons Investment Advisory, INC.
January 2008 - December 2014 · 6 yrs 11 mos
A. G. Edwards & Sons, INC.
August 2005 - November 2007 · 2 yrs 3 mos
A. G. Edwards & Sons, INC.Broker
August 2005 - November 2007 · 2 yrs 3 mos
State Registrations7 states
ALCAFLGALAMSVA
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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