The Swarthmore Group, Inc. (Philadelphia)

Name: The Swarthmore Group, Inc.
Address: 1650 Arch Street, Philadelphia, PA, 19103 2029
Telephone: 215-557-9300

The Swarthmore Group, Inc. is a large advisory firm based in Philadelphia. It manages $1.41 billion of regulatory assets for 34 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Delaware, Illinois, and 6 other states.

The Swarthmore Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

The Swarthmore Group: assets under management

The assets under management (AUM) of The Swarthmore Group, Inc. is $1.41 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 36% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.41 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $41.6 million each.

Investments

The firm invests in investment grade corporate bonds the most. They account for 50% of the total AUM. The second-largest asset type is exchange traded securities, which make up 27% of the firm’s portfolio. Investments in government bonds form 21% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay The Swarthmore Group, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Glenn Edward Becker serves?

The firm provides services to insurance companies, charitable organizations, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Glenn Edward Becker is corporations or other businesses with 10 clients and $741.02 million of assets under management. Among the 10 most similar advisory firms, The Swarthmore Group has the 2nd highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $1.41 billion for 34 clients. None of the firm’s clients are foreign persons or businesses.

The Swarthmore Group also advises several private funds.

Careers at The Swarthmore Group, Inc.

The company employs 11 people that are either part- or full-time employees. 45 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Glenn Edward Becker has been acting as President since 1 Apr 2006. Joseph Pancoast Manheim has served as the Chief Investment Officer since 1 Mar 2013. Mark Anthony Rogozinski joined the executive team most recently as the Ceo.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
James Edwin Nevels	Chairman of the board	1 Jan 1992	50% - 75%	1234566
Paula Mandle	Ceo & chief compliance officer	1 Dec 1996	Other	2759739
Kurt William Brunner	Shareholder	1 Dec 1998	Other	4378033
Gilbert Fran Casellas	Director	1 Dec 2001	Other	4346460
Leigh Doran Lament	Chief compliance officer	1 Nov 2004	Other	4917366
Glenn Edward Becker	President	1 Apr 2006	Other	2005946
Joseph Pancoast Manheim	Chief investment officer	1 Mar 2013	Other	6179316
Mark Anthony Rogozinski	Ceo	1 Nov 2018	Other	4927573
Denise M Caruso	Chief compliance officer	1 Nov 2018	Other	7023136

Based in Philadelphia

The principal office where The Swarthmore Group, Inc. performs its advisory services is located at 1650 Arch Street, Philadelphia, PA 19103 2029, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 215-557-9300 or by fax 215-557-9305. The normal business hours are 8a.m.-5p.m. on Monday - Friday. You can find more information about the New York firm at swarthmoregroup.com.