Swmg, Llc
- Regulatory AUM
- $430M
- Discretionary
- $425M
- Clients
- 429
- Avg AUM / client
- $1.0M
- Accounts
- 1,652
- Employees
- 19
AUM over time
Annual snapshots from Form ADV filings · as of Jul 07, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 268 | $100M | 23.2% |
| High net worth individuals | 161 | $330M | 76.8% |
People (7)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joshua William Strittmatter | Managing Member And Cco | CFP | Jan 2013 (14y) | 75% or more |
| Kelly Nicole Buchfink | Registered representative | CFP | Jul 2018 (8y) | |
| David J Thurber | Registered representative | May 2025 (1y) | ||
| Stewart Bruce Leafblad | Registered representative | Oct 2025 (1y) | ||
| Brian Michael Keller | Registered representative | CFA | May 2026 (0y) | |
| Scott Clifton Francis | Registered representative | Jun 2026 (0y) | ||
| Christopher Wren Coates | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/07/2026 | 892 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Pershing $416M (97% of AUM) Jul 2026
- Charles Schwab & Co. $4.2M (1% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 07, 2026.
View current Form ADV (SEC/IAPD) ↗