Firm Information
Compensation
Number of Advisors
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AUM-Based Fees (Tiered)
| Assets Under Management | Annual Fee |
|---|---|
| Up to $1.0M | 1.50% |
| $1.0M - $1.5M | 1.25% |
| $1.5M - $3.0M | 1.15% |
| $3.0M - $5.0M | 1.00% |
| $5.0M - $15.0M | 0.80% |
| $15M+ | 0.80% |
Fees negotiable above $15,000,000
Fee Estimator
SWAG charges fixed or hourly fees for financial planning, up to $5,000 for a comprehensive plan, and $750 for a basic analysis. Hourly rates range from $150 to $500. Investment management fees are based on a percentage of assets under management (see table). ERISA plan services fees are 1% of assets under management. Independent manager fees range up to 0.50% per annum.
Areas of Practice
Advisor Information
Office location
New Vienna, OH
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Charles is a Regional Director (Sales Manager) and Insurance Agent for Alliance America Corporation, a life and health insurance agency.