DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SWISHER FINANCIAL CONCEPTS, INC.

CRD 121384

WESTERVILLE, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7bd25b89-2949-c41d-92fe-3d3443bb628f

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2019 to Mar 12, 2026
20 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $317MItem 5.F on the latest filing (2026-03-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $199M
Private client RAUM: $315MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $63.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 8
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,455
Individual clients: 554
High net worth clients: 86
Custody, client assets: $142M
SEC number: 801-115211
CIK: 1947503
CRD: 121384
Filings on the tape: 20
First filed: Apr 2, 2019
Latest filed: Mar 12, 2026
Organised: Corporation, OH

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
DANIEL EDWARD WOLFORD	Certified Financial Planner	WESTERVILLE, OH	23	29	n/a	yes
MICHAEL A HENN	Certified Financial Planner	WESTERVILLE, OH	18	23	1	no
BRETT SCOTT VANDERVORT	n/a	WESTERVILLE, OH	9	12	n/a	no
ZACHARY Allen KOUNTZ	Certified Financial Planner	WESTERVILLE, OH	9	10	n/a	no
Christopher Aaron Brubaker	n/a	WESTERVILLE, OH	2	10	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
VANDERVORT, BRETT, SCOTT	DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER	A	yes	01/2020	Mar 15, 2021	Nov 8, 2024
WOLFORD, DANIEL, EDWARD	President	E	yes	01/2004	Apr 2, 2019	Nov 8, 2024
HENN, MICHAEL, A	DIRECTOR OF INVESTMENTS	B	no	01/2019	Apr 2, 2019	Nov 8, 2024
KOUNTZ, ZACHARY, Allen	VICE PRESIDENT AND SECRETARY	A	no	01/2024	Mar 15, 2021	Nov 8, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Mansfield	Oh	United States	3	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 12, 2026	$317M	$199M	8	5	1	n/a	n/a
2024	Feb 25, 2025	$258M	$155M	8	5	1	n/a	n/a
2023	Feb 12, 2024	$223M	$127M	7	4	2	n/a	n/a
2022	Feb 16, 2023	$183M	$94.2M	7	4	2	n/a	n/a
2021	Mar 10, 2022	$194M	$74.3M	7	4	2	n/a	n/a
2020	Mar 15, 2021	$170M	$43.1M	7	4	2	n/a	n/a
2019	Mar 12, 2020	$129M	$29.7M	6	4	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$317M	$258M	23.1%	$183M	20.0%	8	8	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
JERICHO FINANCIAL	2	Sep 19, 2017	Sep 12, 2017	WESTERVILLE, OH	Team lift out	RIA to RIA	33.3%

Relationships

Registered with (7)

← Christopher Aaron BrubakerAdvisorregistration: current employment
Feb 5, 2024 to presentfactForm ADV
← BRETT SCOTT VANDERVORTAdvisorregistration: current employment
Jan 19, 2017 to presentfactForm ADV
← ZACHARY Allen KOUNTZAdvisorregistration: current employment
Jan 19, 2017 to presentfactForm ADV
← MICHAEL A HENNAdvisorregistration: current employment
Jan 8, 2008 to presentfactForm ADV
← DANIEL EDWARD WOLFORDAdvisorregistration: current employment
Oct 11, 2002 to presentfactForm ADV
← RYAN CHARLES BOSLERAdvisorregistration: previous registration
Apr 16, 2010 to Sep 19, 2017factForm ADV
← MARK CHARLES FAUBELAdvisorregistration: previous registration
Mar 21, 2013 to Sep 19, 2017factForm ADV

Controls (2)

← WOLFORD, DANIEL, EDWARDOwnerPRESIDENT, ownership code E, individual
Apr 2, 2019 to Nov 8, 2024factForm ADV
← VANDERVORT, BRETT, SCOTTOwnerDIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 15, 2021 to Nov 8, 2024factForm ADV

Owns (2)

← HENN, MICHAEL, AOwnerDIRECTOR OF INVESTMENTS, ownership code B, individual
Apr 2, 2019 to Nov 8, 2024factForm ADV
← KOUNTZ, ZACHARY, AllenOwnerVICE PRESIDENT AND SECRETARY, ownership code A, individual
Mar 15, 2021 to Nov 8, 2024factForm ADV

Moved with (1)

→ JERICHO FINANCIALRegistered adviser2 advisors, team lift out, same day
Sep 19, 2017 to Sep 12, 2017factForm ADV

Dated events

Occurred
Apr 2, 2019
First Form ADV filing
Swisher Financial Concepts, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7bd25b89-2949-c41d-92fe-3d3443bb628f
First observed: Apr 2, 2019
Last observed: Mar 12, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SWISHER FINANCIAL CONCEPTS, INC.

CRD 121384

WESTERVILLE, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7bd25b89-2949-c41d-92fe-3d3443bb628f

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

DANIEL EDWARD WOLFORD

Certified Financial Planner

WESTERVILLE, OH

n/a

yes

MICHAEL A HENN

Certified Financial Planner

WESTERVILLE, OH

BRETT SCOTT VANDERVORT

n/a

WESTERVILLE, OH

n/a

ZACHARY Allen KOUNTZ

Certified Financial Planner

WESTERVILLE, OH

n/a

Christopher Aaron Brubaker

n/a

WESTERVILLE, OH

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

VANDERVORT, BRETT, SCOTT

DIRECTOR OF OPERATIONS AND CHIEF COMPLIANCE OFFICER

yes

01/2020

Mar 15, 2021

Nov 8, 2024

WOLFORD, DANIEL, EDWARD

President

yes

01/2004

Apr 2, 2019

Nov 8, 2024

HENN, MICHAEL, A

DIRECTOR OF INVESTMENTS

01/2019

Apr 2, 2019

Nov 8, 2024

KOUNTZ, ZACHARY, Allen

VICE PRESIDENT AND SECRETARY

01/2024

Mar 15, 2021

Nov 8, 2024

City

State

Country

Employees

Also broker-dealer

Mansfield

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 12, 2026

$317M

$199M

n/a

2024

Feb 25, 2025

$258M

$155M

n/a

2023

Feb 12, 2024

$223M

$127M

n/a

2022

Feb 16, 2023

$183M

$94.2M

n/a

2021

Mar 10, 2022

$194M

$74.3M

n/a

2020

Mar 15, 2021

$170M

$43.1M

n/a

2019

Mar 12, 2020

$129M

$29.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$317M

$258M

23.1%

$183M

20.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

JERICHO FINANCIAL

Sep 19, 2017

Sep 12, 2017

WESTERVILLE, OH

Team lift out

RIA to RIA

33.3%