SourcingSourcing

SWP INVESTMENT MANAGEMENT LLC

C37
CRD 331314·SEC 801-130403·INDEPENDENCE, OH
AUM
$138.4M
$100M-$500M
Est. Revenue
$1.4M
@ 1% on AUM
Est. EBITDA
$415K
@ 30% margin
Est. Deal Value
$3.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SWP INVESTMENT MANAGEMENT LLC
CRD
331314
SEC file #
801-130403
EIN
—
DBA names
—

Economics

AUM
$138.4M
AUM band
$100M-$500M
AUM trajectory
'25'26
$84.1M → $138.4M▲ +65%
Client mix
Investment Companies1

Operations

Employees (total)
5
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'25'26
6 advisors → 5 advisors▼ -17%
Primary office
INDEPENDENCE OH
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — investment companies
Fee basis
% of AUM

Filings

Latest ADV filing
03/16/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TEPPER, MARK, M
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
5
Control Persons
TEPPER, MARK, M
FISCHER, NATHAN, MICHAEL
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
4417859
Trust Company Affiliate
No

People (5)

5
FISCHER, NATHAN, MICHAEL
IAR · Direct Owner · 37.5%
7326451
TEPPER, MARK, M
IAR · Direct Owner · 37.5%
4417859
Bures, Matthew, Allen
IAR · Direct Owner · 7.5%
6596101
LAMBERT, ROBERT, JOHN
IAR · Direct Owner · 7.5%
7534302
ZABIEGALA, ANTHONY, A
IAR · Direct Owner · 7.5%
5494869