DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Thomas Michael Swoffer

Talbot Financial, LLCindependent RIABellevue, WaIA-onlyIAPD 2088267

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as Tom Swoffer

At current firm

8 y

since May 21, 2018

In the industry

36 y

since Sep 13, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Partner, Chief Investment Officer & Portfolio Managerreportedtalbotfinancial.comfirm site, Sep 15, 2026
Designations: CFAreportedtalbotfinancial.comas printed on the bio page, Sep 16, 2026
Professional profile: TALBOTFINANCIAL.COM/component/content/article/42-tom-swoffer?catid=2reportedtalbotfinancial.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

Talbot Financial, LLC independent RIA current
since May 21, 2018 · Bellevue, Wa
Robert W. Baird & Co. Incorporated mixed wealth
Sep 13, 2017 to May 30, 2018 · Seattle, Wa
Asset Planning & Management, Inc. former
Jan 25, 2017 to Sep 12, 2017 · Spokane, Wa
Whv Investments, Inc. former
May 2, 2003 to Jul 29, 2016 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

Robert W. Baird & Co. Incorporated to Talbot Financial, LLC
left May 30, 2018, registered May 21, 2018 (-9 days) · RIA to RIA
Asset Planning & Management, Inc. to Robert W. Baird & Co. Incorporated
left Sep 12, 2017, registered Sep 13, 2017 (1 days) · Other
Whv Investments, Inc. to Asset Planning & Management, Inc.
left Jul 29, 2016, registered Jan 25, 2017 (180 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address