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SWARTHMORE ASSET MANAGEMENT LTD
CRD 108507File 801-41752
APPROVED
Retail clients
Custody
Filing as of Feb 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$48.6M
Bottom 25% of cohort (national)
Discretionary AUM
$48.6M
Clients
20
42 accounts
Employees
2
Bottom 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jun 18, 1992
- Principal office
- 200 WEST 16TH STREET, OFFICE 1B, NEW YORK, NY, 10011
- Phone
- 212-741-2300
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $48.6M
- Discretionary AUM
- $48.6M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 42
- Non-discretionary accounts
- 0
- Total accounts
- 42
- AUM per client
- $2.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $1.4M |
| Non-U.S. persons | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Charitable organizations | Fewer than 5 | $304K |
| Other investment advisers | Fewer than 5 | $0 |
| High net worth individuals | 9 | $23.6M |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Pension and profit sharing plans | Fewer than 5 | $1.9M |
| State or municipal government entities | Fewer than 5 | $0 |
| Individuals (other than high net worth individuals) | 8 | $2.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 25 | 20 | decreased by5 |
| Mar 1, 2026 | AUM | $48,168,703 | $48,586,739 | increased by$418,036 |
| Mar 1, 2026 | Accounts | 41 | 42 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 29 | 25 | decreased by4 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $45,001,620 | $48,168,703 | increased by$3,167,083 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 44 | 41 | decreased by3 |
| Feb 1, 2022 | Clients | 32 | 29 | decreased by3 |
| Feb 1, 2022 | AUM | $45,670,828 | $45,001,620 | decreased by$669,208 |
| Feb 1, 2022 | Accounts | 47 | 44 | decreased by3 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SWARTHMORE ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SWARTHMORE ASSET” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.