SCHWARTZ & CO.
GREGORY J. SCHWARTZ & CO., INC. Legal Name
Adviser information for SCHWARTZ & CO. last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Michigan, United States |
Employees
| Total Number of Employees | 27 |
|---|---|
| Investment Advisory/Research | 22 |
| Registered Broker-Dealer Representatives | 25 |
| Registered State Investment Advisers | 22 |
| Licensed Agents of an Insurance Company | 8 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 43 | $163.0M |
| Non-Discretionary | 1,198 | $7.6B |
| Total | 1,241 | $7.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 578 | $537.8M |
| HNW Individuals | 431 | $708.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $541,491 |
| Pension and profit sharing plans | 146 | $6.3B |
| Charitable organizations | 39 | $98.6M |
| State or municipal gov entities | 2 | $13.6M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 44 | $89.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1200 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed feesCommissions |
| Other Business Activities | Broker-dealer |
Principal Office
3707 W. MAPLE RDSTE 201
BLOOMFIELD HILLS
MI
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 248-644-2701, Fax: 248-203-5334
Chief Compliance Officer
LAURA POWERS
CFO, COO, FINOP
3707 W. MAPLE RD
STE. 201
BLOOMFIELD HILLS
MI
United States
Tel:
248-644-2701
Fax:
248-203-5334
L***********@********M
(Full email address available in API data)
Regulatory Contact
EDWARD SCHWARTZ
PRESIDENT, CEO
3707 W. MAPLE RD
STE. 201
BLOOMFIELD HILLS
MI
United States
Tel:
248-644-2701
Fax:
248-203-5334
E**************@********M
(Full email address available in API data)
Industry Affiliates
| AGW ASSOCIATES (5 MGR) | Sponsor, GP, manager of pooled investment vehicles |
| AH GRAND RAPIDS INVESTORS, LLC (2) | Sponsor or syndicator of limited partnerships |
| AH SPRING LAKE / SOUTHGATE INVESTORS, LLC (3) | Sponsor or syndicator of limited partnerships |
| AMERICAN HOUSE HOLDINGS (MGR) | Sponsor or syndicator of limited partnerships |
| BALDWIN HOUSE HOLDINGS, LLC (1 MGR) | Sponsor or syndicator of limited partnerships |
| BALDWIN HOUSE SFG INVESTORS, LLC (1) | Sponsor or syndicator of limited partnerships |
| MI BANK | Banking or thrift institution |
| SCHWARTZ BENEFIT SERVICES, LLC | Insurance company or agency |
| SCHWARTZ INVESTMENT BANKING, LLC | Sponsor or syndicator of limited partnerships |
| SFG GRAND RAPIDS, LLC (2 MGR) | Sponsor or syndicator of limited partnerships |
| SFG SOUTHGATE, LLC (3 MGR) | Sponsor or syndicator of limited partnerships |
| SFG SPRING LAKE, LLC (3 MGR) | Sponsor or syndicator of limited partnerships |
| SGN FUND MANAGEMENT II, LLC (4 MGR) | Sponsor or syndicator of limited partnerships |
| SGN FUND MANAGEMENT, LLC (4 MGR) | Sponsor or syndicator of limited partnerships |
| THE STAG GROUP, LLC (5) | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHWARTZ, GREGORY JOHN | Individual | – | CHAIRMAN OF THE BOARD | 08/1976 | < 5% |
| SCHWARTZ, GREGORY JOHN JR | Individual | – | VICE-PRESIDENT | 05/2000 | 10-25% |
| SCHWARTZ, EDWARD AUGUSTINE | Individual | – | PRESIDENT/CEO | 08/2001 | 10-25% |
| SCHWARTZ, WALTER GEORGE | Individual | – | VICE-PRESIDENT | 08/2001 | 10-25% |
| SCHWARTZ, JOSEPH EMMET | Individual | – | TREASURER/SECRETARY | 03/1992 | 10-25% |
| SCHWARTZ, PETER FRANCIS | Individual | – | VICE-PRESIDENT | 08/2001 | 10-25% |
| POWERS, LAURA LEA | Individual | – | CFO, CCO, FINOP | 04/2017 | < 5% |