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SWAD WEALTH MANAGEMENT LLC

SANTA ROSA, CA · CRD 319218 · IAPD ↗ · (707) 899-1010

$111.1MRegulatory AUM
2Advisory reps
2Employees
1Clients
26-50Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

95
September 2026 — SWAD WEALTH MANAGEMENT LLC (SANTA ROSA, CA) is newly SEC-registered with $111.1M RAUM and 2 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.