Wealth manager, independent · Westerville, OH
Swisher Financial Concepts, Inc.
SEC-registered investment adviser · CRD 121384 · SEC 801-115211
At a glance
Swisher Financial Concepts, Inc. is an SEC-registered investment adviser based in Westerville, Ohio, with $317 million in regulatory assets under management as of its Form ADV filed March 12, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 640 individual clients. By Form ADV it is a wealth manager, ranked 4,213th of 8,915 wealth managers and 9,893rd of 17,210 SEC-registered advisers by assets.
Main office 614-890-1930swisherfinancial.comAs filed on Form ADV
- Regulatory AUM
- $317M
- Rank among wealth managers
- #4,213 of 8,915
- Rank among all SEC RIAs
- #9,893 of 17,210
- Rank in Ohio
- #227 of 403
- Individual clients
- 640
- High-net-worth clients
- 86
- Accounts
- 1,455
- Discretionary
- 63% of AUM
- Employees
- 8
- Advisory staff
- 5
- Offices
- 2
Owners and executives on its Form ADV
- Daniel E. WolfordPresident
- Michael A HennDirector of Investments
- Brett S. VandervortDirector of Operations and Chief Compliance Officer
- ZACHARY A. KOUNTZVice President and Secretary
Custody and brokerage
Broker-dealer
Hybrid RIA
Swisher Financial Concepts, Inc. is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names Private Client Services as the broker-dealer its advisers are registered with.
Brubaker is a Series 7 registered representative of Private Client Services, LLC, Louisville, Kentucky.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 86 | $176M | 55% |
| Individuals | 554 | $139M | 44% |
| Corporations or other businesses | – | $2M | <1% |
| Charitable organizations | – | $1M | <1% |
Disciplinary disclosures
Swisher Financial Concepts, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗swisherfinancial.com ↗
AtlasMembers
The full record on Swisher Financial Concepts, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 6 years of filings
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- Growth over one, three and five years
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- Rank against 6,536 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Swisher Financial Concepts, Inc. manage?
Swisher Financial Concepts, Inc. reports $317 million in regulatory assets under management across 1,455 accounts, 63% of it on a discretionary basis, on its Form ADV filed March 12, 2026.
What kind of firm is Swisher Financial Concepts, Inc.?
Swisher Financial Concepts, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Swisher Financial Concepts, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($176 million, 86 clients); individuals ($139 million, 554 clients); corporations or other businesses ($2 million).
Does Swisher Financial Concepts, Inc. have any disciplinary history?
Swisher Financial Concepts, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Swisher Financial Concepts, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-12), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →