SWS Advisors, Inc.

RIASEC Registered

Total AUM

$60M

Discretionary

$60M

100% of AUM

Avg account

$105K

Accounts

570

Employees

Advisory reps

Firm details

Headquarters: Columbus, Ohio
CRD number: 120054
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: Individuals99.32%
Charitable Organizations0.68%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

SWS Advisors, Inc. is a small, privately held advisory corporation that serves both individual/family and institutional clients. The firm provides financial planning and discretionary portfolio management for individuals, small businesses, and other businesses or institutions. Its fee arrangements include percentage-of-AUM billing alongside hourly and fixed-fee engagements. SWS Advisors reports affiliations with a broker-dealer and an insurance company, and it does not characterize itself as an active ESG investor or a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

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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

Public Funds/Mutual Funds80%
Cash & Cash Equivalents10%
Exchange Traded Equities9%
US Government Bonds1%

Owners & executives

1 of 1

Robert Ostrander
President, CEOCRD 731229

Contacts

3 of 6

Dennis Burgess
Investment Adviser Representative, Registered RepresentativeCRD 1020157
Richard Milliken
Investment Advisor RepresentativeCRD 3217681
Cynthia Mason
Sales AssociateCRD 6139873