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SEC-registered adviser

S••• W••••• M••••••••• L••

Independent wealth managerSanta Rosa, CaliforniaCRD 319218SEC 801-137035websiteIAPD
Latest filing Jul 8, 2026
First filing on the tape Jul 8, 2026 · 1 filings
SEC status approved since Aug 7, 2026
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$111M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $111M
HNW client RAUM: $99.1M
State-registered IARs (5.B.3): 2
Employees (5.A): 2
Private funds: no history
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$111MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$578,443derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$17.3M, 8 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$99.1M89%
  • Individuals$11.9M11%
Individual clients
19reported
HNW clients
29reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
192reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$17.3M for 8 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• Z•••••••• S•••Certified Financial PlannerSanta Rosa, CaJan 1, 202514 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S•••• K••••• Z•••••••• · Managing Member, Ccocontrol
      since 05/2022 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business email
    info@swadwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    707-899-1010reportedpublished by the firm, firm site, Sep 17, 2026
    Firm profile
    linkedin.com/company/81540764/adminreportedpublic record, Form ADV, Sep 21, 2026
    Website
    swadwealth.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    (707) 899-1010reportedpublic record, Form ADV, Jul 8, 2026
    Contact form
    swadwealth.com/contactreportedpublished by the firm, firm site, Sep 17, 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
    $111Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026