THE SWARTHMORE GROUP, INC.
CRD #107056 SEC #801-58069 PHILADELPHIA, PA 215-557-9300
SEC Registered
Total AUM
$1.5B
Discretionary
$1.5B
Employees
10
Clients
1
Accounts
45
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2022
- Branch Offices
- 0
- LEI
- 98450061V0KCT9C9FM55
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BECKER, GLENN, EDWARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| BECKER, GLENN, EDWARD | I | EXECUTIVE VICE PRESIDENT | NA | |
| CARUSO, DENISE, M | I | CHIEF COMPLIANCE OFFICER | NA | |
| CARUSO, DENISE, M | I | CHIEF COMPLIANCE OFFICER | NA | |
| CARUSO, DENISE, M | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARUSO, DENISE, M | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARUSO, DENISE, M | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARUSO, DENISE, M | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARUSO, DENISE, M | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARUSO, DENISE, M | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| CASELLAS, GILBERT, FRAN | I | DIRECTOR | NA | |
| LAMENT, LEIGH, DORAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAMENT, LEIGH, DORAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAMENT, LEIGH, DORAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAMENT, LEIGH, DORAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LAMENT, LEIGH, DORAN | I | CHIEF COMPLIANCE OFFICER | NA | |
| MANHEIM, JOSEPH, PANCOAST | I | CHIEF INVESTMENT OFFICER | NA | Control |
| MANHEIM, JOSEPH, PANCOAST | I | CHIEF INVESTMENT OFFICER | NA | Control |
| ROGOZINSKI, MARK, ANTHONY | I | CEO | NA | Control |
| ROGOZINSKI, MARK, ANTHONY | I | CEO | NA | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN & CHIEF EXECUTIVE OFFICER | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| NEVELS, JAMES, EDWIN | I | CHAIRMAN OF THE BOARD | D | Control |
| MANDLE, PAULA | I | PRESIDENT & CEO | C | Control |
| MANDLE, PAULA | I | PRESIDENT & CEO | C | Control |
| MANDLE, PAULA | I | PRESIDENT & CEO | C | Control |
| MANDLE, PAULA | I | PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER | C | Control |
| MANDLE, PAULA | I | PRESIDENT & CEO | C | Control |
| MANDLE, PAULA | I | PRESIDENT & CEO | C | Control |
| MANDLE, PAULA | I | PRESIDENT & CEO | C | Control |
| MANDLE, PAULA | I | PRESIDENT & CHIEF OPERATING OFFICER | C | Control |
| MANDLE, PAULA | I | SHAREHOLDER | C | |
| MANDLE, PAULA | I | SHAREHOLDER | C | |
| MANDLE, PAULA | I | SHAREHOLDER | C | |
| MANDLE, PAULA | I | SHAREHOLDER | C | |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | CEO & CHIEF COMPLIANCE OFFICER | B | Control |
| MANDLE, PAULA | I | SHAREHOLDER | B | |
| MANDLE, PAULA | I | SHAREHOLDER | B | |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | PRESIDENT | A | Control |
| BECKER, GLENN, EDWARD | I | SHAREHOLDER | A | |
| BECKER, GLENN, EDWARD | I | SHAREHOLDER | A | |
| BRUNNER, KURT, WILLIAM | I | SHAREHOLDER | A |
Registrations
Federal
IA
Mar 29, 2022 REGISTERED
Notice Filings (12)
AL CT DE FL IL IN MD MI NJ NY OH PA
Address
1650 ARCH STREETSUITE 2100
PHILADELPHIA, PA 19103-2029
United States
Phone: 215-557-9300