Richard Joseph Swift
Investment adviser representative at Private Advisor Group, LLC
10 yearsExperience
2 statesRegistered in
$57.7BFirm assets
15 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Private Advisor Group, LLCJul 2026 to now
- Transcend Capital Advisors, LLCNov 2023 to Jul 2026
- UnemployedAug 2023 to Oct 2023
- Mariner Investment GroupJul 2021 to Jul 2023
- UnemployedJan 2021 to Jun 2021
- Axonic CapitalJun 2016 to Dec 2020
Exams passed
- Series 65 · Uniform Investment Adviser Law2024
State registrations
Registered as an investment adviser representative in 2 states (NJ, TX).
Private Advisor Group, LLC
$57.7BAssets managed
170,206Clients
919Advisers
15 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2850626
- Firm CRD
- 155216