PATRICK M. SWEENEY & ASSOCIATES, INC

RIASEC RegisteredEst. 2020
Total AUM
$253M
Discretionary
$251M
100% of AUM
Avg account
$828K
Accounts
305
Employees
2
Advisory reps
2

Firm details

Headquarters
LIBERTYVILLE, Illinois
CRD number
112802
Registered since
June 16, 2020
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI94.24%
  • Individuals5.76%
Services
Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Patrick M. Sweeney & Associates, Inc. is an independent, SEC-registered registered investment adviser (since 2020) that serves individual and family clients. The firm provides financial planning and portfolio management for individuals and small businesses. Its fees are charged as a percentage of assets under management and, when appropriate, on hourly or fixed-fee bases. The firm does not position itself as an ESG-focused allocator and operates under individual ownership rather than as a multi-state or institutional capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 63%, Public Funds/Mutual Funds 15%, Cash & Cash Equivalents 14%, Investment Grade Corp Bonds 6%, State & Local Bonds 2%63%
  • Exchange Traded Equities63%
  • Public Funds/Mutual Funds15%
  • Cash & Cash Equivalents14%
  • Investment Grade Corp Bonds6%
  • State & Local Bonds2%

Contacts

2 of 2
  • John Ferguson

    Financial AssociateCRD 7373190

  • PATRICK SWEENEY

    OwnerCRD 2701208

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 30

Active vs passive

$15M in ETFs

Passive

92%

$13.7M

Active

2%

$1.3M

ETFProviderStyleCategoryValueShares% of portfolio
INVESCO QQQ TRUST SERIES 1 (QQQ)InvescoPassiveLarge Growth$2.2M3,89514.97%

Location

Primary office

LIBERTYVILLE, IL

LAKE

Location

LIBERTYVILLE, IL

Headquartered in LIBERTYVILLE, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
LAKE
Address
900 Technology Way
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth