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Swan Philip V Associates LLC (Pasadena)


Swan Philip V Associates LLC is a large advisory firm based in Pasadena. It manages $1.13 billion of regulatory assets for 415 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, New Hampshire, Oregon, Texas, and Washington.

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Swan Philip V Associates provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Swan Philip V Associates: assets under management

The assets under management (AUM) of Swan Philip V Associates LLC is $1.13 billion. The firm's AUM has gone down by -5% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $1.12 billion in discretionary accounts and $3.29 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.71 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $3.29 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Swan Philip V Associates LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Richard Howard Adler Shareholder 1 Nov 1993 25% - 50% 2102059
Harry Tom Griffith Shareholder 1 Nov 1993 25% - 50% 230065
James Edward Hayes Shareholder 1 Nov 1993 25% - 50% 240511
Inc. Ccm Holdings Shareholder 1 Feb 2000 75% - 100% 36-4356466
Convergent Capital Management Inc. Shareholder 1 Feb 2000 75% - 100% 36-3978495
City National Corporation Shareholder 1 Apr 2003 75% - 100% 95-2568550

Based in Pasadena

The principal office where Swan Philip V Associates LLC performs its advisory services is located at 527 South Lake Avenue, Pasadena, CA 91101, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (626) 793-0377 or by fax (626) 793-2371. The normal business hours are 7 a.m. to 5 p.m. on Monday - Friday. You can find more information about the New York firm at www.philipswan.com.


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