|
|
|
|
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
|
|
|
|
|
|
|
|
|