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PALADIN RESEARCH REPORT FOR:

Jonathan Swanburg

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Telephone Advisor
713.735.9228

I. Snapshot

A. Registry Member
  • Since 2015
B. Years of Experience
  • 8
C. College Degrees
  • Pepperdine University - BA
  • Baylor University - MBA
  • Baylor University - JD
D. Certifications
  • CFP®, JD, MBA
E. Financial Fiduciary
  • Yes
F. Business Philosophy
  • Read Business Philosophy

    My team and I do everything we can to help you accomplish your financial goals. That means giving you the tools and guidance you need to develop a plan that is uniquely your own and regularly adapting our strategies as your life and the markets change over time. Regardless of your net worth, our team is laser focused on making your dreams a reality.

G. Asset Requirement
  • None

II. Contact Information

A. Key Contact
  • Jonathan Swanburg
B. Main Location
  • 5718 Westheimer Rd.
    Ste. 950
    Houston, Texas, 77057
C. Additional Locations
  • Sugar Land, Texas
D. Telephone
  • 713.735.9228

III. Internet

A. Visit Website
B. Social Connections

IV. Firm(s)

A. Name of Firm
  • Guided Wealth Management
B. Relationship to Firm
  • Employee
C. Name of RIA
  • Tri-Star Advisors
D. Name of Broker/Dealer
  • Calton & Associates
E. Name(s) of Custodian(s)
  • Charles Schwab
  • Hilltop Securities
  • Betterment

V. Credentials

A. Years of Financial Experience
  • 8 Years
B. College, Degrees, Years
  • Pepperdine University - BA
  • Baylor University - MBA
  • Baylor University - JD
D. Financial Industry Associations (Active Memberships)
  • Financial Planning Association

VI. Registration, Licensing,
Compliance

A. RIA/IAR Registration
  • IAR
B. Type of RIA Registration
  • SEC
C. Industry Licenses
  • Securities License(s)
  • Insurance License(s)
  • Other
D. Registration & License Numbers
  • CRD: 5713713
  • IARD: 5713713
  • Insurance: 1000744
E. State Licences
  • Financial Advice, Services for Fees: See List
  • Investment Products for Commission: See List
  • Insurance Products for Commission: See List
F. Compliance Record (Investment)
  • No Disclosures
G. Compliance Record (Insurance)
  • No Disclosures
H. Criminal Disclosure(s)
  • None
I. Additional Disclosure(s)
  • Jonathan Swanburg is a Registered Representative offering securities through Calton & Associates, Inc. Member FINRA/SIPC, and an Investment Advisor Representative offering advisory services through Tri-Star... View More
    Jonathan Swanburg is a Registered Representative offering securities through Calton & Associates, Inc. Member FINRA/SIPC, and an Investment Advisor Representative offering advisory services through Tri-Star Advisors, an SEC registered investment adviser. Calton & Associates, Inc and Tri-Star Advisors are separate entities.
J. View our ADV(s)
K. Links

VII. Business Data & Practices

A. Business Philosophy
  • Read Business Philosophy

    My team and I do everything we can to help you accomplish your financial goals. That means giving you the tools and guidance you need to develop a plan that is uniquely your own and regularly adapting our strategies as your life and the markets change over time. Regardless of your net worth, our team is laser focused on making your dreams a reality.

B. Minimum Asset Requirement
  • None
C. Number of Current Clients
  • 186
D. Assets (Management, Advisement)
  • $135,000,000
E. Methods of Compensation
  • Fixed Fee
  • Asset-Based Fee
  • Commissions (Investment Products)
F. Methods of Communication
  • Face-to-Face Meetings
  • Telephone
  • Email
  • Skype/Voice
  • Skype/Video-Voice
G. Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Newsletters (Monthly)
H. Second Language(s)
  • None
I. Value Statement
  • View Value Statement
    Our focus is working age professionals, including millennials. My team incorporates technology and expertise into every aspect of our practice. We use digital risk assessments, online account aggregation tools, robust financial planning software, and sophisticated portfolio management platforms to create uniquely tailored financial plans and investment portfolios for our clients regardless of account size. Whether you want to meet in person, by phone, email or video conference, I am always available to help.

VIII. Clients & Services

A. Types of Clients
  • Individuals & Couples (Working)
  • Individuals & Couples (Retired)
B. Types of Financial Services
  • Planning Advice & Services
  • Investment Advice & Services
  • Insurance Products
  • Investment Products (Commission)
C. Discretionary Asset Management
  • Discretionary and Non-Discretionary
D. Limited Engagement Services
  • Financial Plan Reviews
  • Investment Portfolio Reviews

IX. Certification

Advisor Name
  • Jonathan Swanburg
Most Recent Update:
  • Aug 6, 2017

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