Christopher Swales is a CFA-designated registered investment advisor at Swales Financial LLC, based in Erie, CO, with 18 years of industry experience. Christopher 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 22 clients with $5.5M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1M+ | 0.75% |
Fees are generally negotiable.
Fee Estimator
Location
Erie, CO
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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.
Learn about disclosures →Other Business Activities
Christopher is currently a registered representative of State Farm VP Management Corp, but intends to terminate this affiliation soon.
Employment History
Current Registrations
Swales Financial LLC
Previous Registrations
State Farm Vp Management CORP.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley Dw INC.Broker
Morgan Stanley
Delta Equity Services CorporationBroker
State Registrations1 state
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