|
|
|
|
|
|
About Schwarz Dygos Wheeler Investment Advisors LLC |
| Fee-Only, independent Registered Investment Advisory firm [RIA] providing comprehensive Wealth Management services that include portfolio management and financial advice. |
|
| |
|
|
General Information |
| Years of Experience in Financial Services: |
27
|
|
|
|
|
|
|
|
| Work Experience: |
27 years
|
|
|
|
| States Licensed in: |
MN,FL,WI,TX,IL
|
|
| Name of Custodial Firm: |
Fidelity Investments
|
|
| Number of Years with Current Firm: |
15
|
|
| Insurance License#: |
not licensed for insurance
|
|
| Work with the following types of clients: |
Pre-Retired and Retirees
|
|
| States Willing to do Business in: |
Afton,Andover,Anoka,Bayport,Cedar,Champlin,Chanhassen,Chaska,Circle Pines,Cottage Grove,Dayton,Excelsior,Farmington,Forest Lake,Hanover,Hopkins,Hugo,Inver Grove Heights,Lake Elmo,Lakeland,Lakeville,Long Lake,Loretto,Maple Plain,Mendota,Minneapolis,Minnetonka,Mound,Newport,Osseo,Plymouth,Prior Lake,Rogers,Rosemount,Saint Bonifacius,Saint Paul,Savage,Shakopee,Spring Park,Stillwater,Victoria,Wayzata,Greater Minnesota and Wisconsin
|
|
| |
|
|
|
Services |
| Investment Types: |
Mutual Funds, Options & Futures, Bonds, Stocks, Exchange Traded Funds (ETFs), Portfolio Management
|
|
| Can meet clients in the following ways: |
Your Office, Email, Phone, Our Office, Your Home, Video Conference
|
|
| |
|
Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CFA®
|
|
| Securities Licenses: |
Series 63
|
|
| Financial Organization Memberships: |
CFA Society of Minnesota
|
|
| |
|
Firm Information |
| Assets Managed by Firm: |
$450,000
|
|
| Assets Managed by Advisor: |
$99,000,000
|
|
| Advisor's Number of Clients: |
100
|
|
| Firm's Number of Clients: |
450
|
|
| |
|
Compliance |
| Criminal Disclosures in Last 5 years: |
I have a clean record
|
|
| Compliance Disclosures in Last 5 years: |
I have a clean record
|
|
| Registered Investment Advisor: |
Yes
|
|
| Investment Advisor Representative: |
Yes
|
|
| Acknowledged fiduciary: |
Yes
|
|
| |
|
Compensation and Fees |
| Additional Details on Charges: |
As an RIA, commissions are not received
|
|
| Compensation Methods: |
Based on Assets, Flat Fee
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$1,000,000
|
|
|
|
| |
|
| |
| |
|
|
