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
Eric Edward Swanson
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Jun 5, 2025
In the industry
38 y
since Jan 1, 1988 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- One Capital Management, LLC independent RIA currentsince Jun 5, 2025 · Westlake Village, Ca
- Ep Wealth Advisors independent RIAMay 23, 2019 to Jul 23, 2025 · Torrance, Ca
- Transamerica Financial Advisors, LLC BD affiliatedAug 8, 2018 to May 16, 2019 · Henderson, Nv
- Capital Management Services, Inc. independent RIAMar 1, 2018 to Jul 31, 2018 · Westlake Village, Ca
- Reilly Financial Advisors formerNov 17, 2015 to Dec 31, 2017 · La Mesa, Ca
- Lighthouse Financial Services Inc independent RIAJul 8, 2013 to Sep 17, 2015 · Brea, Ca
- Mercer Global Advisors Inc. independent RIAMar 14, 2013 to Apr 29, 2013 · Santa Barbara, Ca
- Edelman Financial Services, LLC formerMay 23, 2012 to Dec 10, 2012 · Woodland Hills, Ca
- Sagepoint Financial, Inc. formerOct 17, 2007 to May 25, 2012 · Phoenix, Az
- Independent Capital Management unclassifiedJun 24, 2002 to Jan 30, 1998 · Camarillo, Ca
- Independent Capital Management unclassifiedOct 26, 1998 to Apr 27, 2012
Moves
a registration end followed by a registration begin elsewhere
- Ep Wealth Advisors to One Capital Management, LLCleft Jul 23, 2025, registered Jun 5, 2025 (-48 days) · RIA to RIA
- Transamerica Financial Advisors, LLC to Ep Wealth Advisorsleft May 16, 2019, registered May 23, 2019 (7 days) · Affiliated broker-dealer or bank to independent RIA
- Capital Management Services, Inc. to Transamerica Financial Advisors, LLCleft Jul 31, 2018, registered Aug 8, 2018 (8 days) · RIA to affiliated broker-dealer or bank
- Reilly Financial Advisors to Capital Management Services, Inc.left Dec 31, 2017, registered Mar 1, 2018 (60 days) · RIA to RIA
- Lighthouse Financial Services Inc to Reilly Financial Advisorsleft Sep 17, 2015, registered Nov 17, 2015 (61 days) · Other
- Mercer Global Advisors Inc. to Lighthouse Financial Services Incleft Apr 29, 2013, registered Jul 8, 2013 (70 days) · Other
- Edelman Financial Services, LLC to Mercer Global Advisors Inc.left Dec 10, 2012, registered Mar 14, 2013 (94 days) · Other
- Sagepoint Financial, Inc. to Edelman Financial Services, LLCleft May 25, 2012, registered May 23, 2012 (-2 days) · Other
- Independent Capital Management to Sagepoint Financial, Inc.left Jan 30, 1998, registered Oct 17, 2007 (3547 days) · Other
Signals
- Eric Edward Swanson left Ep Wealth Advisors for One Capital Management, Llc (registered 2025-06-05)Jul 23, 2025 · Advisor changed firm · fact
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address