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.
SEC-registered adviser
Sws Partners, LLC
Latest filing Jul 14, 2026
First filing on the tape Feb 2, 2016 · 50 filings
SEC status approved since Feb 16, 2016
RAUM
$443M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$399M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$88.5M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$443M as of Jul 14, 2026
Mar 30, 2017$131M then
HNW client RAUM$373M as of Jul 14, 2026
Mar 19, 2018$116M then
State-registered IARs (5.B.3)5 as of Jul 14, 2026
Mar 30, 20170 then
Employees (5.A)6 as of Jul 14, 2026
Mar 30, 20171 then
Private funds10 as of Jul 14, 2026
Mar 18, 20211 then
RAUM +23% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $88.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $852,732derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.5%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $184MreportedItem 5.I
- Custody
- $11.6M, 31 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$373M84%
- Corporations and businesses$33.0M7.5%
- Individuals$25.7M5.8%
- Pooled investment vehicles$10.8M2.4%
- Individual clients
- 60reported
- HNW clients
- 89reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 519reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $11.6M for 31 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.9 fund_share=0.02 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Franklin Parker | Columbus, Oh | Jan 3, 2017 | 25 y | 2 |
| Philip Eugene Kessler | Columbus, Oh | Jan 3, 2017 | 18 y | 4 |
| Kurt Scott GroveChartered Financial Analyst | Columbus, Oh | May 24, 2022 | 10 y | 0 |
| Michael Thomas ParkerChartered Financial Analyst | Columbus, Oh | May 31, 2022 | 23 y | 0 |
| Kevin Joseph Kale | Columbus, Oh | Feb 3, 2026 | 23 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Tad Alan Herrington to Graver Capital Management, LLCMay 15, 2025 · RIA to RIA
- Michael Brennan Stafford to One Brick Capital, LLCDec 13, 2018 · RIA to a state-registered adviser
- Gery Joseph Sadzewicz to Bower Hill Capital Management LLCDec 31, 2016 · Other
- Marc Andrew Zabicki to Global Retirement Partners LLCNov 18, 2016 · Other
- Craig Robert Cavicchia to Northwest Asset ManagementSep 19, 2016 · Other
Joined, latest
- Kevin Joseph Kale from Ancora Private Wealth Advisors, LLCFeb 3, 2026 · RIA to RIA
- Tad Alan Herrington from Clark Asset Management, LLCJul 10, 2023 · RIA to RIA
- Marc Andrew Zabicki from Bower Hill Capital Management LLCMar 16, 2016 · Other
- James Franklin Parker from Ameriprise Financial Services, LLCDec 18, 2015 · Other
- Michael Brennan Stafford from Ameriprise Financial Services, LLCDec 18, 2015 · Other
- Philip Eugene Kessler from Kessler Wealth AdvisorsDec 18, 2015 · Other
- Craig Robert Cavicchia from Ameriprise Financial Services, LLCDec 18, 2015 · Other
- Gery Joseph Sadzewicz from Orchard Capital Management, LLCOct 15, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Ameriprise Financial Services, LLCNov 10, 2015 · Columbus, Oh
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Sws Alternative Fund I | Private Equity Fund | $2.4M | 7 | Sep 23, 2020 |
| Sws Alternative Investment Fund II | Private Equity Fund | $2.4M | 9 | Mar 28, 2022 |
| Sws Alternative Investment Fund V LLC | Hedge Fund | $1.9M | 5 | Mar 28, 2024 |
| Sws Alternative Investment Fund III | Real Estate Fund | $1.8M | 7 | Mar 17, 2023 |
| Sws Equity Velocity Fund IVno longer reported | Private Equity Fund | $1.4M | 5 | Sep 23, 2020 |
| Sws Alternative Investment Fund IV | Hedge Fund | $916,046 | 5 | Mar 17, 2023 |
| Sws Alternative Investment Fund IV | Hedge Fund | $817,400 | 5 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Eugene Philip Kessler · Managing Partnercontrolsince 11/2015 · owns less than 5%
- Franklin James Parker · Managing Partnercontrolsince 11/2015 · owns less than 5%
- Eugene Philip Kessler · Managing Partnercontrolsince 01/2021 · owns 50% to 75% of Kessler Wealth Advisors LLC
- Franklin James Parker · Managing Partnercontrolsince 01/2021 · owns 50% to 75% of Kessler Wealth Advisors LLC
- Lynne Kristin Prieur · Chief Compliance Officersince 04/2024 · owns less than 5%
Entity owners
- Kessler Wealth Advisors LLC · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Sws Alternative Manager, LLCpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 9 to 10Jun 29, 2026 to Jul 14, 2026
- Private funds · 8 to 9Mar 30, 2026 to Jun 29, 2026
- Accounts · 559 to 519Mar 28, 2025 to Mar 30, 2026
- HNW clients · 74 to 89Mar 28, 2025 to Mar 30, 2026
- Individual clients · 87 to 60Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $39.3M to $11.6MMar 28, 2025 to Mar 30, 2026
- Private funds · 6 to 8Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $360M to $443MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $301M to $373MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $33.3M to $25.7MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $9.5M to $10.8MMar 28, 2025 to Mar 30, 2026
- RAUM · $360M to $443MMar 28, 2025 to Mar 30, 2026
- Accounts · 579 to 559Jan 6, 2025 to Mar 28, 2025
- Advisory activities · 4 to 6Jan 6, 2025 to Mar 28, 2025
- Corporate clients · 3 to 2Jan 6, 2025 to Mar 28, 2025
- HNW clients · 72 to 74Jan 6, 2025 to Mar 28, 2025
- Individual clients · 85 to 87Jan 6, 2025 to Mar 28, 2025
- Pooled vehicle clients · 5 to 6Jan 6, 2025 to Mar 28, 2025
- Assets in custody · $282M to $39.3MJan 6, 2025 to Mar 28, 2025
- Employees · 5 to 6Jan 6, 2025 to Mar 28, 2025
- Financial planning clients · 101-250 to 51-100Jan 6, 2025 to Mar 28, 2025
- Discretionary RAUM · $354M to $360MJan 6, 2025 to Mar 28, 2025
- HNW RAUM · $305M to $301MJan 6, 2025 to Mar 28, 2025
- Individual RAUM · $37.5M to $33.3MJan 6, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $10.5M to $9.5MJan 6, 2025 to Mar 28, 2025
- RAUM · $354M to $360MJan 6, 2025 to Mar 28, 2025
- Private funds · 5 to 6Oct 15, 2024 to Jan 6, 2025
- Accounts · 571 to 579Jan 25, 2024 to Mar 28, 2024
- Corporate clients · 1 to 3Jan 25, 2024 to Mar 28, 2024
- HNW clients · 70 to 72Jan 25, 2024 to Mar 28, 2024
- Individual clients · 91 to 85Jan 25, 2024 to Mar 28, 2024
- Pooled vehicle clients · 4 to 5Jan 25, 2024 to Mar 28, 2024
- Assets in custody · $37.8M to $282MJan 25, 2024 to Mar 28, 2024
- Private funds · 4 to 5Jan 25, 2024 to Mar 28, 2024
- Discretionary RAUM · $313M to $354MJan 25, 2024 to Mar 28, 2024
- HNW RAUM · $257M to $305MJan 25, 2024 to Mar 28, 2024
- Individual RAUM · $34.2M to $37.5MJan 25, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $8.5M to $10.5MJan 25, 2024 to Mar 28, 2024
- RAUM · $313M to $354MJan 25, 2024 to Mar 28, 2024
- State-registered IARs · 4 to 5Nov 10, 2023 to Jan 25, 2024
Signals
4 dated events
- Tad Alan Herrington left Sws Partners, Llc for Graver Capital Management, Llc (registered 2025-06-16)May 15, 2025 · Advisor changed firm · fact
- Lee Christopher Payne (Chief Compliance Officer) appeared on Schedule A of Sws Partners, LlcNov 2, 2021 · Control person joined · fact
- Brennan Michael Stafford (Member) no longer on Schedule A of Sws Partners, Llc (listed 2019-03-29, absent 2019-07-29)Jul 29, 2019 · Control person left · inference
- Sws Partners, Llc filed its initial SEC registration (Form ADV)Feb 2, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- SWS Partners, LLC · Family Officesshared crd · office
- SWS Partners, LLC · Independent Sponsorsshared crd · capital_provider
- SWS Partners, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 614-670-5733reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-670-7886reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/sws-partners-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- swspartners.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 614-670-5733reportedpublic record, Form ADV, Jul 14, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $88.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Sws Partners, LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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