Timothy S. Mullen

SWIFT RUN CAPITAL MANAGEMENT

CHARLOTTESVILLE, VA 22902-5299

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CRD#: 1631336

Professional summary

Timothy Selig Mullen is a registered financial advisor currently at SWIFT RUN CAPITAL MANAGEMENT located in Charlottesville, Virginia.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Timothy has worked at 2 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Selig Mullen's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 26, 2014 - Present

SWIFT RUN CAPITAL MANAGEMENT

Office #1: 310 4th Street Ne Suite 102, Charlottesville, VA 22902-5299

RIA

CRD#: 159345

CHARLOTTESVILLE, VA

Past

November 21, 1989 - September 9, 1991

LATERMAN & COMPANY

CRD#: 13019

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Virginia
(2/26/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/12/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 11/18/1989

General Securities Representative Examination

Current Firm

SWIFT RUN CAPITAL MANAGEMENT

SRCM | SWIFT RUN CAPITAL MANAGEMENT, LLC | SWIFT RUN CAPITAL MANAGEMENT

CRD#: 159345 / SEC#: 801-79419

RIA

Registered Investment Advisory firm - (5/5/2021 Terminated)

Virginia

Registered Investment Advisory firm - (5/1/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

310 4th Street Ne Suite 102, Charlottesville, VA 22902-5299

Mailing Address

Phone number

(434) 326-6968

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	79
AUM (Assets Under Management)	$ 89,000,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	7/19/2013

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Timothy S. Mullen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy Selig Mullen's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWIFT RUN CAPITAL MANAGEMENT

LATERMAN & COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2013

Series 7

Date: 11/18/1989

Current Firm

SWIFT RUN CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

SWIFT RUN CAPITAL MANAGEMENT

TRUST BUT VERIFY

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