Barry J. Swaim

Some features on this profile are disabled

CRD#: 2234204

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Barry Jay Swaim, CFP® was a registered financial professional .

Barry is a previously registered financial professional and started their career in finance in 1992. Barry had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 1994

Experience

Past

May 21, 2020 - February 19, 2024

ACCRUENT WEALTH ADVISORS

RIA

CRD#: 113706

WINSTON-SALEM, NC

Past

August 27, 1993 - June 19, 2003

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

November 22, 1992 - June 18, 1993

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ACCRUENT WEALTH ADVISORS

ACCRUENT WEALTH ADVISORS | WEALTH MANAGEMENT GROUP, INC.

CRD#: 113706 / SEC#: 801-118266

RIA

Registered Investment Advisory firm - (3/20/2020 Approved)

North Carolina

Registered Investment Advisory firm - (5/14/2020 Terminated)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/13/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/13/1992

General Securities Representative Examination

Current Firm

ACCRUENT WEALTH ADVISORS

ACCRUENT WEALTH ADVISORS | WEALTH MANAGEMENT GROUP, INC.

CRD#: 113706 / SEC#: 801-118266

RIA

Registered Investment Advisory firm - (3/20/2020 Approved)

North Carolina

Registered Investment Advisory firm - (5/14/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1399 Ashleybrook Lane, Suite 120, Winston-salem, NC 27103

Mailing Address

Phone number

(336) 760-4829

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACCRUENT WEALTH ADV PART 2A & 2B ANNUAL AMENDMENT V.02.10.25 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	614
AUM (Assets Under Management)	$ 173,649,293

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Barry J. Swaim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ACCRUENT WEALTH ADVISORS

GROVE POINT INVESTMENTS, LLC

BERKSHIRE EQUITY SALES, INC.

Primary Firm SEC Registration

ACCRUENT WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/13/1999

Series 63

Date: 6/23/1992

Series 7

Date: 11/13/1992

Current Firm

ACCRUENT WEALTH ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ACCRUENT WEALTH ADVISORS

TRUST BUT VERIFY

Similar Advisors