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SWIFTWATER CAPITAL

· CRD 329458 · IAPD ↗ · swiftwater.capital · 971-453-0130

$170.9MRegulatory AUM
1Advisory reps
3Employees
0Clients
26-50Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
March 2026 — SWIFTWATER CAPITAL notice-filed in WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
64
March 2026 — SWIFTWATER CAPITAL reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
65
March 2026 — SWIFTWATER CAPITAL now reports custody of client assets ($327,512).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
January 2026 — SWIFTWATER CAPITAL (location n/a) is newly SEC-registered with $169.7M RAUM and 1 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.