Kevin Swad
Kevin Swad is a CFP-designated registered investment advisor at Swad Wealth Management LLC, based in Santa Rosa, CA, with 14 years of industry experience. Kevin 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 2 more. Their firm serves 46 clients with $98M 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 $3.0M | 1.00% |
| $3.0M - $5.0M | 0.75% |
| $5.0M - $15.0M | 0.50% |
| $15M+ | 0.25% |
Fees for annuity products are charged at a flat 1.00% annually. There is a $20,000 minimum annual fee for investment management services.
Fee Estimator
Contact
Kevin Swad
Location
100 Stony Point Rd, Suite 244, Santa Rosa, CA, 95401
Get directionsHistory
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 ActivitiesSells Insurance
Kevin owns real estate/property in Indianapolis since 2013, dedicating about 10-20% of his time. He is also a licensed insurance agent but does not intend to solicit any insurance products, dedicating minimal time to this activity.
Employment History
Current Registrations
Swad Wealth Management LLC
Previous Registrations
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
State Registrations1 state
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
Additional Information
Zack Swad is the founder and President of Swad Wealth Management. He has over 10 years of experience within the financial services industry. Prior to founding Swad Wealth Management, Zack worked as a financial advisor at a Fortune 500 company where he managed a practice of $800 million dollars across 300 client households.