Daniel R. Swick

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CRD#: 2341273

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.

Daniel Robert Swick, who also goes by Danny Swick, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Danny Swick

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.

Daniel Robert Swick is an licensed insurance agent and owner of a licensed insurance agency; Kango Group, Inc., that is involved in life insurance and life settlements. Mr. Swick will not offer any life insurance transactions to cleints of Curve Capital LLC.

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®

None

Experience

Past

August 23, 2022 - September 16, 2022

ALPHA GROWTH MANAGEMENT LLC

RIA

CRD#: 316760

NEWPORT BEACH, CA

Past

June 25, 2020 - March 19, 2021

CURVE CAPITAL LLC

RIA

CRD#: 166408

NEWPORT BEACH, CA

Past

January 3, 2018 - June 5, 2018

SWICK, DANIEL ROBERT

RIA

CRD#: 291212

NEWPORT BEACH, CA

Past

November 30, 2012 - December 11, 2015

SWICK LAM ASSET MANAGEMENT, LLC

RIA

CRD#: 161629

FOUNTAIN VALLEY, CA

Past

March 14, 2007 - October 6, 2009

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

WESTLAKE VILLAGE, CA

Past

October 7, 1999 - January 17, 2002

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

October 7, 1999 - September 8, 2006

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

May 6, 1994 - September 24, 1999

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

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".

ALPHA GROWTH MANAGEMENT LLC

ALPHA GROWTH MANAGEMENT LLC | ALPHA GROWTH MANAGEMENT, INC.

CRD#: 316760 / SEC#: 801-126374

RIA

Registered Investment Advisory firm - (8/15/2022 Approved)

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: 7/28/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/3/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ALPHA GROWTH MANAGEMENT LLC

ALPHA GROWTH MANAGEMENT LLC | ALPHA GROWTH MANAGEMENT, INC.

CRD#: 316760 / SEC#: 801-126374

RIA

Registered Investment Advisory firm - (8/15/2022 Approved)

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Contact information

Main Address

1615 South Congress Avenue Suite 103, Delray Beach, FL 33445

Mailing Address

Phone number

(949) 326-9797

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 18,462,210

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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Advisor Monitoring

Firm Stability Insights

Daniel R. Swick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CURVE CAPITAL LLC

SWICK, DANIEL ROBERT

SWICK LAM ASSET MANAGEMENT, LLC

FIRST HEARTLAND CAPITAL, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

VALIC FINANCIAL ADVISORS, INC.

EMPOWER FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ALPHA GROWTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2012

Series 63

Date: 5/3/1994

Series 6

Date: 5/3/1994

Current Firm

ALPHA GROWTH MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

ALPHA GROWTH MANAGEMENT LLC

TRUST BUT VERIFY

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