SWAN & HERRING, LLC
CRD #113540 SEC #801-60439 LAGUNA NIGUEL, CA 949-495-8870
SEC Registered
Total AUM
$45.1M
Discretionary
$45.1M
Employees
5
Clients
--
Accounts
2
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 18, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| HERRING, HOWARD, NOEL | I | MANAGING PARTNER | D | Control |
| HERRING, HOWARD, NOEL | I | MANAGING PARTNER | D | Control |
| HERRING, HOWARD, NOEL | I | MANAGING PARTNER | D | Control |
| SWAN, MICHAEL, EDWARD | I | MANAGING PARTNER | D | Control |
| SWAN, MICHAEL, EDWARD | I | MANAGING PARTNER | D | Control |
| SWAN, MICHAEL, EDWARD | I | MANAGING PARTNER | D | Control |
Registrations
Federal
IA
Mar 18, 2002 REGISTERED
Notice Filings (3)
AZ CA TX
Address
30011 IVY GLENN DRIVE, SUITE 200LAGUNA NIGUEL, CA 92677-5017
USA
Phone: 949-495-8870