Sawtelle Financial Management (San Antonio)

Name: Sawtelle Financial Management
Address: 1250 Ne Loop 410, San Antonio, TX, 78209
Telephone: 210-822-5252

Sawtelle Financial Management is a large advisory firm based in San Antonio. It manages $129.17 million of regulatory assets for 235 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Arkansas, Nebraska, and Texas.

Sawtelle Financial Management provides portfolio management for individuals and small businesses and pension consulting services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sawtelle Financial Management: assets under management

The assets under management (AUM) of Sawtelle Financial Management is $129.17 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 8% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $129.17 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $549.66 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 99% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sawtelle Financial Management for their services and products based on a percentage of assets under management and hourly charges. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sawtelle Financial Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Sawtelle Financial Management is individuals with 204 clients and $75.48 million of assets under management. Among the 10 most similar advisory firms, Sawtelle Financial Management has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $129.17 million for 235 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Sawtelle Financial Management doesn't advise any private funds.

Careers at Sawtelle Financial Management

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Roger Scott Sawtelle	Owner/chief compliance officer	1 Jul 1996	75% - 100%	806933

Based in San Antonio

The principal office where Sawtelle Financial Management performs its advisory services is located at 1250 Ne Loop 410, San Antonio, TX 78209, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 210-822-5252 or by fax 800-615-9059. The normal business hours are 8:00-5pm on Monday - Friday. You can find more information about the New York firm at sawtellefinancial.com.