Saxon Swindler

WHIPPLEWOOD ADVISORS

Littleton, CO 80127

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CRD#: 7192651

Professional summary

Saxon Swindler is a registered financial advisor currently at WHIPPLEWOOD ADVISORS, LLC located in Littleton, Colorado.

Saxon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Saxon has worked at 2 firms and has passed the Series 65, 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 Saxon Swindler'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

April 2, 2024 - Present

WHIPPLEWOOD ADVISORS, LLC

Office #1: 11852 Shaffer Drive Building B, Littleton, CO 80127

RIA

CRD#: 282860

Littleton, CO

Past

December 19, 2022 - May 9, 2023

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, 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".

WHIPPLEWOOD ADVISORS, LLC

CRD#: 282860 / SEC#: 801-119590

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2020 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.

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

Colorado
(4/2/2024)

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 65

Date: 4/2/2024

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 12/17/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 5/15/2020

Securities Industry Essentials Examination

Current Firm

WHIPPLEWOOD ADVISORS, LLC

CRD#: 282860 / SEC#: 801-119590

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/19/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/5/2020 Terminated)

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Contact information

Main Address

11852 Shaffer Drive Building B, Littleton, CO 80127

Mailing Address

Phone number

(303) 989-7600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	371
AUM (Assets Under Management)	$ 288,037,168

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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Saxon Swindler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Saxon Swindler's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHIPPLEWOOD ADVISORS, LLC

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

WHIPPLEWOOD ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/2/2024

Series 6TO

Date: 12/17/2022

SIE

Date: 5/15/2020

Current Firm

WHIPPLEWOOD ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WHIPPLEWOOD ADVISORS, LLC

TRUST BUT VERIFY

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