Hayley E. Swaim

AUSTIN PRIVATE WEALTH

Austin, TX 78705

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CRD#: 6976879

Professional summary

Hayley Elizabeth Swaim is a registered financial advisor currently at AUSTIN PRIVATE WEALTH, LLC located in Austin, Texas.

Hayley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Hayley has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE 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 Hayley Elizabeth Swaim'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

Experience

Current

January 28, 2022 - Present

AUSTIN PRIVATE WEALTH, LLC

Office #1: 3108 N Lamar Boulevard Suite B100, Austin, TX 78705

RIA

CRD#: 304344

Austin, TX

Past

November 16, 2019 - September 4, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

AUSTIN, TX

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".

AUSTIN PRIVATE WEALTH, LLC

AUSTIN PRIVATE WEALTH | NOKI GROUP, LLC | AUSTIN PRIVATE WEALTH, LLC

CRD#: 304344 / SEC#: 801-116987

RIA

Registered Investment Advisory firm - (7/18/2019 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

Texas
(1/28/2022)

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: 1/15/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/18/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 11/15/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 8/26/2019

Securities Industry Essentials Examination

Current Firm

AUSTIN PRIVATE WEALTH, LLC

AUSTIN PRIVATE WEALTH | NOKI GROUP, LLC | AUSTIN PRIVATE WEALTH, LLC

CRD#: 304344 / SEC#: 801-116987

RIA

Registered Investment Advisory firm - (7/18/2019 Approved)

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Contact information

Main Address

3108 N Lamar Boulevard Suite B100, Austin, TX 78705

Mailing Address

Phone number

(512) 886-4114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (8/15/2025)

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	5,781
AUM (Assets Under Management)	$ 1,331,171,818

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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Hayley E. Swaim

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hayley Elizabeth Swaim's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUSTIN PRIVATE WEALTH, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

AUSTIN PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/15/2022

Series 63

Date: 1/18/2020

Series 6TO

Date: 11/15/2019

SIE

Date: 8/26/2019

Current Firm

AUSTIN PRIVATE WEALTH, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AUSTIN PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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