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RIA / WealthAdvisorChartered Financial Analyst36 years in industry

THOMAS MICHAEL SWOFFER

Advisor at TALBOT FINANCIAL, LLC

BELLEVUE, WA

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Search this name across graphsid dfx:ria:7f6ce35f-83ff-138d-cd45-f6da841d5e6a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 2, 2003 to Sep 14, 2026

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

Current firm: TALBOT FINANCIAL, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 13, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Designations: Chartered Financial Analyst
Exams: S63|S66
First exam: Sep 13, 1990
First registration: May 2, 2003
Dual registered: no
Other names: TOM SWOFFER|THOMAS M. SWOFFER
IAPD individual key: 2088267

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TALBOT FINANCIAL, LLC	Independent wealth	May 21, 2018	n/a	yes	BELLEVUE, WA	Current employment
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	Sep 13, 2017	May 30, 2018	no	Seattle, WA	Previous registration
ASSET PLANNING & MANAGEMENT, INC.	Former SEC adviser	Jan 25, 2017	Sep 12, 2017	no	SPOKANE, WA	Previous registration
WHV INVESTMENTS, INC.	Former SEC adviser	May 2, 2003	Jul 29, 2016	no	SEATTLE, WA\|SEATTLE, WA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ROBERT W. BAIRD & CO. INCORPORATED	TALBOT FINANCIAL, LLC	May 30, 2018	May 21, 2018	-9	Firm change	RIA to RIA
ASSET PLANNING & MANAGEMENT, INC.	ROBERT W. BAIRD & CO. INCORPORATED	Sep 12, 2017	Sep 13, 2017	1	Firm change	Other
WHV INVESTMENTS, INC.	ASSET PLANNING & MANAGEMENT, INC.	Jul 29, 2016	Jan 25, 2017	180	Firm change	Other

Relationships

Registered with (4)

→ TALBOT FINANCIAL, LLCRegistered adviserregistration: current employment
May 21, 2018 to presentfactForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
Sep 13, 2017 to May 30, 2018factForm ADV
→ ASSET PLANNING & MANAGEMENT, INC.Registered adviserregistration: previous registration
Jan 25, 2017 to Sep 12, 2017factForm ADV
→ WHV INVESTMENTS, INC.Registered adviserregistration: previous registration
May 2, 2003 to Jul 29, 2016factForm ADV

Dated events

No dated event names this entity yet.