Hedge Fund Database

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC

Adviser information for SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC last updated from Form ADV on March 25th, 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 Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 9
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,893 $542.4M
Non-Discretionary 18 $10.5M
Total 1,911 $552.9M

Clients

Type Number RAUM
Individuals 332 $120.4M
HNW Individuals 175 $429.8M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations <5 $2.7M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 10
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-69248
SEC ERA File Number 801-69248
SEC CIK Numbers 1794153
SEC CRD Numbers 147384
Legal Entity Identifier None

Principal Office

50 SOUTH 6TH STREET, SUITE 1405
MINNEAPOLIS
MN
United States
Monday - Friday, 8:00 AM TO 4:00 PM
Tel: (612) 355 - 4360, Fax: (612) 355 - 4361

Websites

www.sdwia.com www.facebook.com/sdwadvisors www.linkedin.com/company/schwarz-dygos-wheeler-investment-advisors twitter.com/sdwadvisors

Chief Compliance Officer

BENJAMIN J. WHEELER
MANAGING MEMBER/CHIEF COMPLIANCE OFFICER
50 SOUTH 6TH STREET, SUITE 1405
MINNEAPOLIS
MN
United States
Tel: (612) 355 - 4363
Fax: (612) 355 - 4361
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
SCHWARZ, JOSEPH, WILLIAM Individual – MANAGING MEMBER 07/2008 25-50%
WHEELER, BENJAMIN, JACKSON Individual – MANAGING MEMBER/CHIEF COMPLIANCE OFFICER 07/2008 25-50%
DYGOS, STEPHEN, JOHN Individual – MANAGING MEMBER 07/2008 25-50%

No. Employees, Historic

10502020202120222023202420257 on 3/30/20207 on 6/23/20208 on 3/17/20217 on 3/15/20227 on 6/30/202210 on 3/20/20239 on 3/25/2024

RAUM, Historic

600M300M0202020212022202320242025242696422 on 3/30/2020242696422 on 6/23/2020442974109 on 3/17/2021475934777 on 3/15/2022475934777 on 6/30/2022445271662 on 3/20/2023552936873 on 3/25/2024

No. Clients, Historic

6003000202020212022202320242025420 on 3/30/2020420 on 6/23/2020447 on 3/17/2021480 on 3/15/2022480 on 6/30/2022492 on 3/20/2023508 on 3/25/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
3M CO COM 402K 4K –
ABBVIE INC COM 415K 2K –
ABRDN ASIA PACIFIC INCOME FU COM 778K 290K –
ALLIANCEBERNSTEIN HLDG L P UNIT LTD PARTN 206K 6K –
ALLISON TRANSMISSION HLDGS I COM 1M 17K –
ALPHABET INC CAP STK CL A 13M 74K –
ALPHABET INC CAP STK CL C 5M 30K –
ALTRIA GROUP INC COM 228K 5K –
AMAZON COM INC COM 3M 17K –
AMERICAN CENTY ETF TR AVANTIS EMGMKT 827K 14K –
AMERICAN CENTY ETF TR EMERGING MKT VAL 5M 97K –
AMERICAN CENTY ETF TR INTERNATIONAL LR 345K 7K –
AMERICAN CENTY ETF TR INTL EQT ETF 4M 57K –
AMERICAN CENTY ETF TR INTL SMCP VLU 4M 68K –
AMERICAN CENTY ETF TR US EQT ETF 6M 64K –
AMERICAN CENTY ETF TR US LARGE CAP VLU 317K 5K –
AMERICAN CENTY ETF TR US SML CP VALU 5M 57K –
AMERICAN TOWER CORP NEW COM 617K 3K –
APOLLO GLOBAL MGMT INC COM 523K 4K –
APPLE INC COM 32M 152K –
ARM HOLDINGS PLC SPONSORED ADS 847K 5K –
ATLANTA BRAVES HLDGS INC COM SER A 282K 7K –
AUTOZONE INC COM 762K 257 –
BERKSHIRE HATHAWAY INC DEL CL A 3M 5 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 48M 118K –
BLACKROCK FLOATING RATE INCO COM 923K 71K –
BLACKSTONE INC COM 204K 2K –
BOEING CO COM 723K 4K –
BOOKING HOLDINGS INC COM 277K 70 –
BP PLC SPONSORED ADR 390K 11K –
CAPITAL ONE FINL CORP COM 462K 3K –
CBRE GBL REAL ESTATE INC FD COM 1M 236K –
CHEVRON CORP NEW COM 585K 4K –
CISCO SYS INC COM 338K 7K –
COCA COLA CO COM 337K 5K –
CONOCOPHILLIPS COM 381K 3K –
CONSTELLATION BRANDS INC CL A 581K 2K –
COSTCO WHSL CORP NEW COM 5M 6K –
CVS HEALTH CORP COM 1M 22K –
DAVE & BUSTERS ENTMT INC COM 356K 9K –
DIMENSIONAL ETF TRUST CORE FIXED INCOM 1M 33K –
DIMENSIONAL ETF TRUST EMERGING MARKETS 289K 9K –
DIMENSIONAL ETF TRUST EMERGING MKTS VA 2M 70K –
DIMENSIONAL ETF TRUST GLOBAL CORE PLUS 391K 7K –
DIMENSIONAL ETF TRUST INTERNATIONAL 611K 19K –
DIMENSIONAL ETF TRUST INTERNATNAL VAL 252K 7K –
DIMENSIONAL ETF TRUST INTL CORE EQT MK 11M 374K –
DIMENSIONAL ETF TRUST INTL CORE EQUITY 1M 52K –
DIMENSIONAL ETF TRUST INTL SMALL CAP V 1M 51K –
DIMENSIONAL ETF TRUST US CORE EQT MKT 18M 475K –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 4M 118K –
DIMENSIONAL ETF TRUST US SUSTAINABILTY 846K 24K –
DIMENSIONAL ETF TRUST US TARGETED VLU 3M 55K –
DIMENSIONAL ETF TRUST WORLD EX US CORE 1M 58K –
DISNEY WALT CO COM 2M 18K –
DOMINOS PIZZA INC COM 310K 600 –
DOUBLELINE INCOME SOLUTIONS COM 946K 76K –
DOUBLELINE YIELD OPPORTUNITI COM 782K 50K –
ELI LILLY & CO COM 204K 225 –
ENTERPRISE PRODS PARTNERS L COM 752K 26K –
EQUINOR ASA SPONSORED ADR 339K 12K –
EXXON MOBIL CORP COM 604K 5K –
FASTENAL CO COM 258K 4K –
FEDEX CORP COM 1M 4K –
FIDELITY COVINGTON TRUST FIDELITY FUND LR 248K 10K –
FRANKLIN RESOURCES INC COM 250K 11K –
GE HEALTHCARE TECHNOLOGIES I COMMON STOCK 417K 5K –
GENERAL MLS INC COM 585K 9K –
GLADSTONE LD CORP COM 2M 165K –
GOLDMAN SACHS GROUP INC COM 433K 957 –
HOME DEPOT INC COM 2M 4K –
HONEYWELL INTL INC COM 3M 12K –
INTEL CORP COM 243K 8K –
INVESCO QQQ TR UNIT SER 1 246K 514 –
ISHARES INC CORE MSCI EMKT 1M 20K –
ISHARES TR 1 3 YR TREAS BD 347K 4K –
ISHARES TR CORE DIV GRWTH 17M 295K –
ISHARES TR CORE HIGH DV ETF 211K 2K –
ISHARES TR CORE MSCI EURO 1M 24K –
ISHARES TR CORE S&P TTL STK 755K 6K –
ISHARES TR CORE S&P US GWT 250K 2K –
ISHARES TR CORE S&P500 ETF 668K 1K –
ISHARES TR MSCI ACWI ETF 226K 2K –
ISHARES TR SELECT DIVID ETF 12M 97K –
J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 976K 17K –
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 2M 47K –
JOHNSON & JOHNSON COM 2M 14K –
JPMORGAN CHASE & CO. COM 4M 19K –
KAROOOOO LTD ORD SHS 5M 175K –
KKR & CO INC COM 675K 6K –
MASTERCARD INCORPORATED CL A 619K 1K –
MCDONALDS CORP COM 2M 9K –
MCKESSON CORP COM 374K 640 –
MEDTRONIC PLC SHS 784K 10K –
META PLATFORMS INC CL A 4M 7K –
MICROSOFT CORP COM 7M 16K –
MOLSON COORS BEVERAGE CO CL B 327K 6K –
MONDELEZ INTL INC CL A 265K 4K –
NORFOLK SOUTHN CORP COM 269K 1K –
NOVO-NORDISK A S ADR 1M 10K –
NUVEEN SELECT MAT MUN FD SH BEN INT 306K 34K –
NVIDIA CORPORATION COM 2M 15K –
ORACLE CORP COM 894K 6K –
PACER FDS TR US CASH COWS 100 5M 89K –
PALANTIR TECHNOLOGIES INC CL A 450K 18K –
PALO ALTO NETWORKS INC COM 888K 3K –
PHILIP MORRIS INTL INC COM 2M 17K –
PROCTER AND GAMBLE CO COM 2M 12K –
PRUDENTIAL FINL INC COM 362K 3K –
QUALCOMM INC COM 230K 1K –
SELECT SECTOR SPDR TR SBI CONS STPLS 3M 33K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 243K 2K –
SIMON PPTY GROUP INC NEW COM 223K 1K –
SLEEP NUMBER CORP COM 2M 168K –
SPDR S&P 500 ETF TR TR UNIT 748K 1K –
SPDR S&P 500 ETF TR TR UNIT 11M 20K –
SPDR SER TR PORTFOLIO AGRGTE 3M 124K –
SPROTT PHYSICAL GOLD TR UNIT 14M 779K –
SPROTT PHYSICAL SILVER TR TR UNIT 862K 87K –
STARBUCKS CORP COM 2M 26K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 266K 2K –
TARGET CORP COM 2M 12K –
TELLURIAN INC NEW COM 1M 2M –
TELLURIAN INC NEW COM 4K 6K –
TEMPUR SEALY INTL INC COM 620K 13K –
TRACTOR SUPPLY CO COM 325K 1K –
UNION PAC CORP COM 473K 2K –
UNITEDHEALTH GROUP INC COM 7M 13K –
VANECK ETF TRUST AGRIBUSINESS ETF 788K 11K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 447K 6K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 251K 5K –
VANGUARD INDEX FDS REAL ESTATE ETF 921K 11K –
VANGUARD INDEX FDS S&P 500 ETF SHS 201K 402 –
VANGUARD INDEX FDS TOTAL STK MKT 800K 3K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 5M 106K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 9M 131K –
VANGUARD WHITEHALL FDS INTL HIGH ETF 4M 61K –
VEEVA SYS INC CL A COM 223K 1K –
VERIZON COMMUNICATIONS INC COM 1M 29K –
VIRTUS EQUITY & CONV INCM FD COM 5M 214K –
VISA INC COM CL A 2M 8K –
WALMART INC COM 226K 3K –
WELLS FARGO CO NEW COM 2M 41K –
WEYERHAEUSER CO MTN BE COM NEW 2M 78K –
WINMARK CORP COM 917K 3K –