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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SWAIMBROWN WEALTH MANAGEMENT LLC

CRD 133492

CLINTON, SC

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:e6f5c420-6f71-61ef-9106-2c8a1e598f99

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 5
On other graphs: 0
Observed: Jun 26, 2018 to Mar 30, 2023
16 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $138MItem 5.F on the latest filing (2023-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $138M
Private client RAUM: $44.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 32%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 93
Individual clients: 43
High net worth clients: 38
SEC number: 801-113689
CRD: 133492
Filings on the tape: 16
First filed: Jun 26, 2018
Latest filed: Mar 30, 2023
Organised: Limited Liability Company, South Carolina

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
PEAY, J, JAY	MANAGING MEMBER	E	yes	02/2000	Jun 26, 2018	Mar 30, 2023
RAMAGE, DAVID, FRANKLIN	MANAGING DIRECTOR / CCO	Na	yes	02/2012	Jun 26, 2018	Mar 30, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PEAY AND ASSOCIATES LLC	n/a	n/a	n/a	N	yes	n/a
UPSTATE INSURANCE CONSULTANTS LLC	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Spartanburg	Sc	United States	1	no

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
2022	Mar 3, 2023	$138M	$138M	2	2	1	n/a	n/a
2021	Mar 1, 2022	$157M	$157M	2	2	1	n/a	n/a
2020	Feb 16, 2021	$143M	$143M	2	2	1	n/a	n/a
2019	Jan 28, 2020	$127M	$127M	2	2	1	n/a	n/a
2018	Mar 6, 2019	$101M	$101M	2	2	1	n/a	n/a

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
2022	$138M	$157M	-12.2%	$127M	2.8%	2	2	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
SAVANT WEALTH MANAGEMENT	2	Feb 22, 2024	Dec 7, 2023	CLINTON, SC	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← RAMAGE, DAVID, FRANKLINOwnerMANAGING DIRECTOR / CCO, ownership code NA, individual
Jun 26, 2018 to presentfactForm ADV
← PEAY, J, JAYOwnerMANAGING MEMBER, ownership code E, individual
Jun 26, 2018 to presentfactForm ADV

Registered with (2)

← DAVID FRANKLIN RAMAGEAdvisorregistration: previous registration
Feb 11, 2013 to Feb 22, 2024factForm ADV
← JOHN JAY PEAYAdvisorregistration: previous registration
Feb 18, 2005 to Feb 22, 2024factForm ADV

Moved with (1)

→ SAVANT WEALTH MANAGEMENTRegistered adviser2 advisors, team lift out, same day
Feb 22, 2024 to Dec 7, 2023factForm ADV

Dated events

Occurred
Feb 22, 2024
Team lift-out
2 advisors left Swaimbrown Wealth Management LLC (Clinton, SC) for Savant Wealth Management on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Feb 22, 2024
Advisor changed firm
David Franklin Ramage left Swaimbrown Wealth Management Llc for Savant Wealth Management (registered 2023-12-07)
Form ADVobserved 5 days ago
Occurred
Feb 22, 2024
Advisor changed firm
John Jay Peay left Swaimbrown Wealth Management Llc for Savant Wealth Management (registered 2023-12-07)
Form ADVobserved 5 days ago
Occurred
Mar 6, 2019
Control person left
Scott Keim (Member) no longer on Schedule A of Swaimbrown Wealth Management Llc (listed 2019-03-06, absent 2019-03-06)
Form ADVobserved 5 days ago
Occurred
Jun 26, 2018
First Form ADV filing
Swaimbrown Wealth Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6f5c420-6f71-61ef-9106-2c8a1e598f99
First observed: Jun 26, 2018
Last observed: Mar 30, 2023 42 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.

SWAIMBROWN WEALTH MANAGEMENT LLC

CRD 133492

CLINTON, SC

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:e6f5c420-6f71-61ef-9106-2c8a1e598f99

Data as of Mar 30, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:42 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PEAY, J, JAY

MANAGING MEMBER

yes

02/2000

Jun 26, 2018

Mar 30, 2023

RAMAGE, DAVID, FRANKLIN

MANAGING DIRECTOR / CCO

yes

02/2012

Jun 26, 2018

Mar 30, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PEAY AND ASSOCIATES LLC

n/a

yes

n/a

UPSTATE INSURANCE CONSULTANTS LLC

n/a

City

State

Country

Employees

Also broker-dealer

Spartanburg

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 3, 2023

$138M

n/a

2021

Mar 1, 2022

$157M

n/a

2020

Feb 16, 2021

$143M

n/a

2019

Jan 28, 2020

$127M

n/a

2018

Mar 6, 2019

$101M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$138M

$157M

-12.2%

$127M

2.8%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SAVANT WEALTH MANAGEMENT

Feb 22, 2024

Dec 7, 2023

CLINTON, SC

Team lift out

RIA to RIA

100.0%