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
Erik Alan Swenson
Feed of 09/14/2026
At current firm
15 y
since Dec 2, 2010
In the industry
46 y
since Jul 18, 1980 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Independent Financial Partners BD affiliated currentsince Dec 2, 2010 · Waukesha, Wi
- LPL Financial LLC BD affiliatedNov 6, 2012 to May 23, 2019 · Bryan, Oh
- Nrp Advisors, Inc. unclassifiedNov 10, 2009 to Dec 1, 2010 · Delafield, Wi
- Northwestern Mutual Investment Services,LLC no RAUMOct 18, 2004 to Nov 11, 2009 · Delafield, Wi
- Innovative Investment Advisory, Inc. unclassifiedFeb 9, 1996 to Oct 11, 2004 · Brookfield, Wi
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to no registered destinationleft May 23, 2019 · Departure, no registered destination
- Nrp Advisors, Inc. to Independent Financial Partnersleft Dec 1, 2010, registered Dec 2, 2010 (1 days) · corporate re-registration, not a move
- Northwestern Mutual Investment Services,LLC to Nrp Advisors, Inc.left Nov 11, 2009, registered Nov 10, 2009 (-1 days) · Other
- Innovative Investment Advisory, Inc. to Northwestern Mutual Investment Services,LLCleft Oct 11, 2004, registered Oct 18, 2004 (7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address