We are dedicated to providing individuals and other types of clients with a wide array of investment
advisory services. Our firm is a limited liability company formed in the State of Iowa. Our firm has been
in business as an investment adviser since 2010. Our firm is owned by Laura Ann Swift (30%), Scott Lee
Stoltenberg (30%), Christine McElvania (20%), Mark Grywacheski (10%) and Jennifer DeLaPaz (10%).
Types of Advisory Services Offered.
Our Comprehensive Portfolio Management service encompasses asset management, asset
advisement, and providing financial planning/financial consulting to clients. It is designed to assist
clients in meeting their financial goals through the use of financial investments. We conduct at least
one, but sometimes more than one meeting (in person if possible, otherwise via telephone
conference) with clients in order to understand their current financial situation, existing resources,
financial goals, and tolerance for risk. Based on what we learn, we propose a savings and investment
strategy to the client. We will propose an investment portfolio, consisting of exchange traded funds,
mutual funds, individual stocks or bonds, or other securities. Upon the client’s agreement to the
proposed investment plan, we work with the client to establish or transfer investment accounts so
that we can manage the client’s portfolio. Once the relevant accounts are under our management or
advisement, we review such accounts on a regular basis and at least semi-annually. We will
periodically rebalance or adjust client accounts under our management. If the client experiences any
significant changes to his/her financial or personal circumstances, the client must notify us so that
we can consider such information in managing the client’s investments.
Our firm provides Retirement Plan Consulting services to employer plan sponsors on an ongoing
basis. Generally, such consulting services consist of assisting employer plan sponsors in establishing,
monitoring and reviewing their company's participant-directed retirement plan. As the needs of the
plan sponsor dictate, areas of advising could include: investment options, plan structure and
participant education. Retirement Plan Consulting services typically include:
• Establishing an Investment Policy Statement – Our firm will assist in the development of a
statement that summarizes the investment goals and objectives along with the broad strategies
to be employed to meet the objectives.
• Investment Options – Our firm will work with the Plan Sponsor to evaluate existing investment
options and make recommendations for appropriate changes.
• Asset Allocation and Portfolio Construction – Our firm will develop strategic asset allocation
models to aid Participants in developing strategies to meet their investment objectives, time
horizon, financial situation and tolerance for risk.
• Investment Monitoring – Our firm will monitor the performance of the investments and notify
the client in the event of over/underperformance and in times of market volatility.
In providing services for retirement plan consulting, our firm does not provide any advisory services
with respect to the following types of assets: employer securities, real estate (excluding real estate
funds and publicly traded REITS), participant loans, non-publicly traded securities or assets, other
illiquid investments, or brokerage window programs (collectively, “Excluded Assets”). All retirement
plan consulting services shall be in compliance with the applicable state laws regulating retirement
consulting services. This applies to client accounts that are retirement or other employee benefit
QUAD-CITIES INVESTMENT GROUP | ADV Part 2A: Firm Brochure – Page5
plans (“Plan”) governed by the Employee Retirement Income Security Act of 1974, as amended
(“ERISA”). If the client accounts are part of a Plan, and our firm accepts appointment to provide
services to such accounts, our firm acknowledges its fiduciary standard within the meaning of Section
3(21) or 3(38) of ERISA as designated by the Retirement Plan Consulting Agreement with respect to
the provision of services described therein.
Tailoring of Advisory Services.
We offer individualized investment advice to clients utilizing Asset Management, Asset
Advisement, Comprehensive Portfolio Management, and Financial Planning and Consultations.
Each client has the opportunity to place reasonable restrictions on the types of investments to be
held in the portfolio. All such restrictions are to be agreed upon in writing.
Participation in Wrap Fee Programs.
We no longer offer a Wrap Fee Program.
Regulatory Assets Under Management.
We manage approximately $319,044,903 on a discretionary basis and $14,402,237 on a non-
discretionary basis for a total of $293,031,167 in Assets Under Management as of 12/31/2023.