Unclaimed Profile

Lucas Lee Swygard

JAMES RIVER ASSET MANAGEMENT, LLC·MIDLOTHIAN, Virginia

SIE, Series 6, Series 7, Series 7TO, Series 63, Series 66Clean record12 years registeredJAMES RIVER ASSET MANAGEMENT, LLC

15521 MIDLOTHIAN TNPK., MIDLOTHIAN, VA 23113CRD# 5752897Firm CRD# 117917

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Lucas Lee Swygard · MIDLOTHIAN, VA

Registration

CRD #5752897 · JAMES RIVER ASSET MANAGEMENT, LLC · 12 years registered

Brand Profile

Not yet started

Career History

JAMES RIVER ASSET MANAGEMENT, LLC

Jan 2024 – present

FINANCIAL ENGINES ADVISORS L.L.C.

Apr 2022 – Nov 2023

HENRICO, VA

JAMES RIVER ASSET MANAGEMENT, LLC

May 2021 – Apr 2022

MIDLOTHIAN, VA

JAMES RIVER ASSET MANAGEMENT, LLC

Dec 2014 – Nov 2017

MIDLOTHIAN, VA

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

May 2014 – Nov 2014

RICHMOND, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 7TO

Series 63

Series 66

Registration record

First registered · May 6, 2014

Years registered · 12

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

JAMES RIVER ASSET MANAGEMENT, LLC

CRD 117917 · SEC 801-112743

AUM

$149M

Regulatory assets under management

Employees

646 client accounts

Services offered by JAMES RIVER ASSET MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at JAMES RIVER ASSET MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Lucas Lee Swygard offer?

Lucas Lee Swygard specializes in Financial Planning, Investment Management. Contact their office in MIDLOTHIAN, Virginia for a consultation.

What are Lucas Lee Swygard's credentials?

Lucas Lee Swygard is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Lucas Lee Swygard located?

Lucas Lee Swygard is based in MIDLOTHIAN, Virginia, working with JAMES RIVER ASSET MANAGEMENT, LLC. Their office serves clients in the MIDLOTHIAN metropolitan area and surrounding communities.

How does Lucas Lee Swygard charge for services?

Lucas Lee Swygard's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is JAMES RIVER ASSET MANAGEMENT, LLC?

JAMES RIVER ASSET MANAGEMENT, LLC has approximately 10 employees and manages $149M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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