Eric E. Swanson

ONE CAPITAL MANAGEMENT

Westlake Village, CA 91361

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CRD#: 2680207

Professional summary

Eric Edward Swanson, CFP® is a registered financial advisor currently at ONE CAPITAL MANAGEMENT, LLC located in Westlake Village, California.

Eric is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Eric has worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 24 and Series 26 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Employee and Employer Plan Ben...

Investment Planning

Estate Planning

Comprehensive Financial Planni...

Retirement Income Management

What is your minimum asset requirement?

500K

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.

RENTAL PROPERTIES/Investment Related - Yes/2323 SAMARITAN DRIVE, SAN JOSE, CA 95124 291 RIVERDALE, CAMARILLO, CA 93012/INCOME PRODUCING RESIDENTIAL PROPERTY'S OWNED BY MYSELF AND SPOUSE ONLY/NOT APPLICABLE/09.1997/0/0/NOT APPLICABLE SWANSON amp; ASSOCIATES, INC/Investment Related - No/4722 LA PUMA COURT, CAMARILLO, CA 93012/SWANSON & ASSOCIATES, INC. REMAINS IN EXISTENCE FOR THE SOLE PURPOSE OF ACTING AS A PASSTHROUGH ENTITY FOR ERIC AND HIS WIFE WHEN RECEIVING COMMISSION TRAILS FOR THE SALE OF INSURANCE PRODUCTS. SINCE JOINING EPWA, MR. SWANSON IS NO LONGER ENGAGED AND DOES NOT SALE INSURANCE PRODUCTS. ./PRESIDENT/01.2001/0/0/NONE AT THIS TIME

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Edward Swanson's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2001

Experience

Current

June 5, 2025 - Present

ONE CAPITAL MANAGEMENT, LLC

Office #1: 3075 Townsgate Road Suite 350, Westlake Village, CA 91361

RIA

CRD#: 114861

Westlake Village, CA

Past

May 23, 2019 - July 23, 2025

EP WEALTH ADVISORS

RIA

CRD#: 111147

TORRANCE, CA

Past

August 13, 2018 - May 16, 2019

CRD#: 20580

WOODLAND HILLS, CA

Past

October 17, 2007 - May 25, 2012

OSAIC SERVICES, INC.

RIA

CRD#: 133763

CAMARILLO, CA

Past

October 31, 2005 - May 25, 2012

CRD#: 20068

PHOENIX, AZ

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".

ONE CAPITAL MANAGEMENT, LLC

FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA

Registered Investment Advisory firm - (11/5/2001 Approved)

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

California
(6/5/2025)

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

Series 63

Series 26

Date: 4/25/1996

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ONE CAPITAL MANAGEMENT, LLC

FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA

Registered Investment Advisory firm - (11/5/2001 Approved)

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Contact information

Main Address

3075 Townsgate Road Suite 350, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 409-8150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCM FORM ADV PART 2A NOVEMBER 14, 2025 (11/14/2025)

Regulatory assets under management

Total Number of Accounts	8,302
AUM (Assets Under Management)	$ 7,002,823,758

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/17/2025	Cover Page	Report
04/16/2024	Cover Page	Report
02/12/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

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Eric E. Swanson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Edward Swanson's CRS (Customer Relationship Summary).

Certified licenses

Experience

EP WEALTH ADVISORS

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

CAPITAL MANAGEMENT SERVICES, INC.

REILLY FINANCIAL ADVISORS

LIGHTHOUSE FINANCIAL SERVICES INC

MERCER GLOBAL ADVISORS INC.

EDELMAN FINANCIAL SERVICES, LLC

SANDERS MORRIS LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

INDEPENDENT CAPITAL MANAGEMENT

INDEPENDENT CAPITAL MANAGEMENT

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

ONE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/2018

Series 65

Date: 7/15/1998

SIE

Date: 10/1/2018

Series 6

Date: 8/13/2018

Series 7

Date: 5/2/1997

Series 24

Date: 2/29/2000

Series 26

Date: 4/25/1996

Current Firm

ONE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ONE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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