Brad Swanson
Brad Swanson is a registered investment advisor at Umb Financial Services, INC., based in Denver, CO, with 11 years of industry experience. Brad operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1 clients with $3.1M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.45% |
| $1.0M - $3.0M | 1.00% |
| $3.0M - $5.0M | 0.80% |
| $5.0M - $10.0M | 0.60% |
| $10.0M - $15.0M | 0.50% |
| $15M+ | 0.45% |
Fees may be negotiable based on the client’s total relationship with UMB. Fees for the UMB Institutional Fixed Income Program will not exceed 1%.
Fee Estimator
Location
1670 Broadway, Denver, CO, 80202
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Brad is a licensed agent for UMB Insurance, selling fixed rate insurance products and services, dedicating a few hours per week. He also works as a financial services professional for UMB Bank, providing investment management services, which takes nearly full-time.
Employment History
Current Registrations
Umb Financial Services, INC.
Umb Financial Services, INC.Broker
Umb Financial Services, INC.
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.