Daniel
Swallow

Advisors Asset Management, Inc

CRD#2192847
Investment Advisor
in Princeton, NJ

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About this Advisor

Daniel Swallow is a financial advisor working in Princeton, New Jersey with a total of 16 years of relevant experience. Swallow is an employee of Advisors Asset Management, Inc. They have been an employee of Advisors Asset Management, Inc for the entirety of their career. Swallow holds Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and is able to serve investors in New Jersey and Pennsylvania. Advisors Asset Management, Inc is a registered investment business headquartered in Monument, CO. The firm has offices in nine locations and a total of 253 employees. It administers $4 billion in assets under management across its 1,634 accounts, making it one of the largest financial advisory firms in the country by assets under management. The firm provides financial advice to two charitable organizations. Of its 1,634 client accounts, just 6% are held by high-net-worth clients who have at least $1 million in assets available to invest. The advisory firm offers a diverse range of services, including portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for institutional clients and other services. Fees charged by financial advisors largely depend on which service is provided. However, fee types charged by Advisors Asset Management, Inc typically consist of asset-based fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

16 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients, Other

Fee Structure

Percentage of Assets

Office Location

300 Carnegie Center Suite 100
Princeton, NJ 08540

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Advisors Asset Management, Inc Brokerage Details

Total Assets Under Management

$3,740,185,737

NJ Average: $2,349,664,866
Total Number of Employees

253

NJ Average: 28
Total Number of Accounts

1,634

NJ Average: 1,101
Average Account Size

$2,288,975

NJ Average: $2,134,119

Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies
  • Portfolio management for businesses or institutional clients
  • Other

Daniel Swallow Work History

Daniel has been registered as a financial advisor for 16 years.*

2007 - Present (17 years)

Advisors Asset Management, Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Daniel Swallow to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Advisors Asset Management, Inc

Shawn Shepherd
Olathe, KS
Michael Pfeiffer
Princeton, NJ
Robert Wilkinson
Boerne, TX
Jeffrey Rosen
Dunwoody, GA
Thomas Higgins
Boca Raton, FL
Jason Willyard
Lisle, IL
Brian Winkler
New York, NY

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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