Swan & Herring, LLC is a large advisory firm based in Laguna Niguel. It manages $67.2 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Arizona, California, and Texas.
Swan & Herring provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Swan & Herring, LLC is $67.2 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 38% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.
The advisory firm has several streams of revenue. Clients pay Swan & Herring, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The principal office where Swan & Herring, LLC performs its advisory services is located at 30011 Ivy Glenn Drive, Suite 200, Laguna Niguel, CA 92677 5017, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 949-495-8870 or by fax 949-495-9849. The normal business hours are 6:00 a.m. - 3:00 p.m. pst on Monday - Friday.