Lucas L. Swygard

JAMES RIVER ASSET MANAGEMENT | Director, Financial Planning

Midlothian, VA 23113

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CRD#: 5752897

Professional summary

Lucas Lee Swygard, who also goes by Luke Swygard, is a registered financial advisor currently at JAMES RIVER ASSET MANAGEMENT, LLC located in Midlothian, Virginia.

Lucas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Lucas has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Biography

My passion for advising clients is empowered by my real estate, commercial finance and wealth management background. It's a great joy for me to understand my clients at a deep interpersonal level and to construct a financial path that is inclusive of their needs, wants, desires and fears.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luke Swygard

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.

1) Hippo Lending. Non-investment related. 4551 Cox Rd Suite 402 | Glen Allen, VA 23060. Hippo Lending is a commercial lender. I am a 1099 contractor. I have no title. Started in February of 2022. I work approximately 12 hours a month. None of those hours are worked during trading hours. I am a draft content writer for Hippo Lending's marketing department.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucas Lee Swygard'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®

None

Education

Grove City College

Experience

Current

January 31, 2024 - Present

JAMES RIVER ASSET MANAGEMENT, LLC

Office #1: 15521 Midlothian Tnpk. Suite 100, Midlothian, VA 23113

RIA

CRD#: 117917

Midlothian, VA

Past

April 18, 2022 - November 21, 2023

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

HENRICO, VA

Past

May 14, 2021 - April 1, 2022

JAMES RIVER ASSET MANAGEMENT, LLC

RIA

CRD#: 117917

MIDLOTHIAN, VA

Past

May 14, 2021 - April 21, 2022

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Midlothian, VA

Past

February 2, 2015 - June 22, 2016

VALMARK SECURITIES, INC.

CRD#: 31243

Midlothian, VA

Past

December 10, 2014 - November 13, 2017

JAMES RIVER ASSET MANAGEMENT, LLC

RIA

CRD#: 117917

MIDLOTHIAN, VA

Past

May 6, 2014 - November 4, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

RICHMOND, VA

Past

September 16, 2010 - November 4, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

RICHMOND, VA

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".

JAMES RIVER ASSET MANAGEMENT, LLC

CRD#: 117917 / SEC#: 801-112743

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

Virginia

Registered Investment Advisory firm - (10/1/2018 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.

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

Maryland
(1/31/2024)

IAR

North Carolina
(2/1/2024)

IAR

Virginia
(1/31/2024)

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 66

Date: 3/15/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/18/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/14/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/26/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

JAMES RIVER ASSET MANAGEMENT, LLC

CRD#: 117917 / SEC#: 801-112743

RIA

Registered Investment Advisory firm - (3/30/2018 Approved)

Virginia

Registered Investment Advisory firm - (10/1/2018 Terminated)

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Contact information

Main Address

15521 Midlothian Tnpk. Suite 100, Midlothian, VA 23113

Mailing Address

Phone number

(804) 323-0517

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,180
AUM (Assets Under Management)	$ 235,964,765

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

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Advisor Monitoring

Firm Stability Insights

Lucas L. Swygard

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucas Lee Swygard's CRS (Customer Relationship Summary).

Certified licenses

Education

Grove City College

Experience

EDELMAN FINANCIAL ENGINES

JAMES RIVER ASSET MANAGEMENT, LLC

J.W. COLE FINANCIAL, INC.

VALMARK SECURITIES, INC.

JAMES RIVER ASSET MANAGEMENT, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

JAMES RIVER ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/15/2021

Series 63

Date: 11/18/2010

Series 7TO

Date: 5/14/2021

SIE

Date: 3/26/2021

Series 7

Date: 11/18/2013

Series 6

Date: 9/15/2010

Current Firm

JAMES RIVER ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

JAMES RIVER ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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