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SWP INVESTMENT MANAGEMENT LLC

INDEPENDENCE, OH · CRD 331314 · IAPD ↗ · 216-800-9000

$138.4MRegulatory AUM
5Advisory reps
5Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

57
April 2026 — SWP INVESTMENT MANAGEMENT LLC reported RAUM up 65% ($84.1M -> $138.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
60
November 2024 — SWP INVESTMENT MANAGEMENT LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
June 2024 — SWP INVESTMENT MANAGEMENT LLC (INDEPENDENCE, OH) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 6 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.