Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The maximum annual advisory fee is 2.0% for advisor-managed non-wrap accounts. In limited cases, SWA may apply a flat fee to provide asset management services, with a maximum of 2.0% of the assets under management. Clients with non-wrap fee accounts will also pay transaction charges assessed by the broker-dealer. Financial planning services are offered for a flat fee, subscription, or hourly basis. Fees are negotiable and not based on capital gains/losses.
Areas of Practice
Advisor Information
Office location
10300 Alliance Rd, Suite 100, Cincinnati, OH, 45249
Get directionsRegulatory 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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Daniel is the Chief Executive Officer and Chief Investment Officer of Retirement Corporation of America, an investment-related business. He spends nearly full-time in this role, earning RIA fees.