SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Swarthmore Asset Management Ltd
New York, NY
CRD 108507
Firm filing updated February 25, 2026 ·
- $48.6MAssets
- 1Advisory staff
- 42Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals9
- Individuals8
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 8 | $2.8 million |
| High net worth individuals | 9 | $23.6 million |
| Banking or thrift institutions | Fewer than 5 clients | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $1.9 million |
| Charitable organizations | Fewer than 5 clients | $304,452 |
| State or municipal government entities (including government pension plans) | Fewer than 5 clients | $0 |
| Other investment advisors | Fewer than 5 clients | $0 |
| Insurance companies | Fewer than 5 clients | $0 |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 |
| Corporations or other businesses not listed above | Fewer than 5 clients | $1.4 million |
| Other: "GUARDIANSHIPS" | 5 | $18.6 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for individuals and/or small businesses
Assets and accounts
- Regulatory assets$48.6 million
- Accounts42
- DiscretionaryAll accounts
People
- Employees2
- Advisory staff1
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 108507, SEC file 801-41752.
- Registered with the SEC as an investment advisor (status date on record: June 18, 1992).
Is Swarthmore Asset Management Ltd a fiduciary?
Short answer: Swarthmore Asset Management Ltd is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.