William M. Swart

BRAVE FAMILY ADVISORS

Tiverton, RI 02878

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CRD#: 7630365

Professional summary

William Michael Swart is a registered financial advisor currently at BRAVE FAMILY ADVISORS located in Tiverton, Rhode Island.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. William has worked at 1 firm and has passed the Series 65 exam.

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 William Michael Swart'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

November 19, 2022 - Present

BRAVE FAMILY ADVISORS

Office #1: 3913 Main Road, Tiverton, RI 02878

RIA

CRD#: 108512

Tiverton, RI

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".

BRAVE FAMILY ADVISORS

BRAVE ASSET MANAGEMENT, INC. | BRAVE FAMILY ADVISORS

CRD#: 108512 / SEC#: 801-42617

RIA

Registered Investment Advisory firm - (10/29/1992 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

Rhode Island
(11/19/2022)

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: 11/19/2022

Uniform Investment Adviser Law Examination

Current Firm

BRAVE FAMILY ADVISORS

BRAVE ASSET MANAGEMENT, INC. | BRAVE FAMILY ADVISORS

CRD#: 108512 / SEC#: 801-42617

RIA

Registered Investment Advisory firm - (10/29/1992 Approved)

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Contact information

Main Address

47 Summit Avenue, Summit, NJ 07901

Mailing Address

Phone number

(908) 522-8822

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRAVE ASSET MANAGEMENT, INC. (3/21/2025)

Regulatory assets under management

Total Number of Accounts	882
AUM (Assets Under Management)	$ 542,786,417

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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William M. Swart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Michael Swart's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRAVE FAMILY ADVISORS

Primary Firm SEC Registration

BRAVE FAMILY ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/2022

Current Firm

BRAVE FAMILY ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BRAVE FAMILY ADVISORS

TRUST BUT VERIFY

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