SCHWANTES FINANCIAL, LLC

Overview

Schwantes Financial, LLC is a fee-based registered investment adviser organized as a limited liability company that focuses on portfolio management for individuals and small businesses. The firm runs client relationships on a percentage-of-AUM model and reports all of its assets as discretionary, indicating portfolio decisions are typically made on the client’s behalf. Its investment posture tilts toward public equities, with a clear preference for exchange-traded instruments as the primary building blocks of client portfolios. The adviser does not identify as an active ESG investor and is not set up as a multi-state adviser. Investment activity centers on liquid public markets—exchange-traded equities and mutual funds—supplemented by selective private placements. That mix suggests a core-satellite approach: liquid public holdings as the core, with limited use of private placement opportunities for clients who qualify and are suited to less-liquid strategies.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices