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Sean Swanson

Smart Wealth, LLC
20 Years of Experience
Omaha, NE
1 Disclosure
View SEC Summary
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Sean Swanson is a registered investment advisor at Smart Wealth, LLC, based in Omaha, NE, with 20 years of industry experience. Sean operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 1,012 clients with $690M in assets under management.

Smart Wealth, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
19 advisors
Number of Clients
1,012 clients
Average Client Portfolio
$678K average
Assets Under Management
$686.4M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Minimum Annual Fee:$2,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.30%
$500K - $750K1.00%
$750K - $1.0M0.90%
$1.0M - $2.0M0.85%
$2.0M - $3.0M0.80%
$3.0M - $5.0M0.75%
$5M+0.70%

Households with less than $133,334 in assets under management are subject to a minimum annual fee of $2,000. Fee breakpoints and rates are a suggestion and may be modified lower.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

13815 Fnb Parkway, Suite 400, Omaha, NE, 68154

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2006
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Sean is a singer/songwriter since 1990, writing songs performed in churches worldwide, dedicating minimal time to this. Sean also pastors Generations Church in Omaha, NE as a volunteer, dedicating a few hours per week.

Employment History
Current Registrations
Smart Wealth, LLC
January 2022 - Present · 4 yrs 9 mos
Previous Registrations
Eagle Strategies LLC
December 2021 - January 2022 · 1 mo
Nylife Securities LLCBroker
November 2021 - January 2022 · 2 mos
Tlg Advisors, INC.
February 2020 - October 2021 · 1 yr 8 mos
The Leaders Group, INC.Broker
February 2020 - October 2021 · 1 yr 8 mos
Eagle Strategies LLC
September 2015 - February 2020 · 4 yrs 5 mos
Nylife Distributors LLCBroker
September 2015 - February 2020 · 4 yrs 5 mos
Ameritas Investment CORP
August 2013 - May 2015 · 1 yr 9 mos
Ameritas Investment CORP.Broker
August 2013 - May 2015 · 1 yr 9 mos
Eagle Strategies LLC
December 2012 - May 2013 · 5 mos
Nylife Securities LLCBroker
November 2005 - May 2013 · 7 yrs 6 mos
State Registrations1 state
NE
Advisor

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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