Schlindwein Associates LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$163,628,061
Clients
118
Advisors
3
across 3 offices
About
Schlindwein Associates provides discretionary and non-discretionary investment supervisory services to individual (including high‑net‑worth) and institutional clients, along with investment guidance programs for corporate and not‑for‑profit groups and consulting on investment management issues. The firm typically implements portfolios using mutual funds and ETFs, while occasionally employing structured notes, closed‑end funds and select individual securities.
The firm builds client Investment Profiles through an initial questionnaire and ongoing reviews to establish strategic asset allocation and risk parameters, then monitors and periodically rebalances portfolios against allocation‑based benchmarks. Schlindwein uses a proprietary fund‑ranking methodology that weights consistency, risk‑adjusted performance, cost and manager experience, and it allocates to alternative categories such as commodities, MLPs and absolute‑return strategies when seeking diversification.
Compared with many peers, Schlindwein generally directs custody and brokerage to Charles Schwab and receives substantial Schwab support services and technology, an arrangement the brochure identifies as creating potential conflicts of interest (including incentives related to IRA rollovers and directed brokerage constraints). The firm also manages assets for certain clients of CIBC Wealth Management while CIBC remains the client-facing party, an operational relationship that differs from a typical direct adviser‑client engagement.
Client services
Expertise
Fee options
$0 - $1,000,000: 0.75% standard; 0.50% not-for-profit $1,000,001 - $5,000,000: 0.50% standard; 0.30% not-for-profit $5,000,001+: 0.25% standard; 0.15% not-for-profit
Maximum $500 per hour
Account minimum: $500,000 Minimum fee: $1,000 annually for standard clients; $500 annually for not-for-profit clients Fee-only: Hourly fee up to $500 per hour
Main office
See office1717 Main Street, Suite 3975
Dallas TX 75201
Advisors at this office
1
Offices (3)
Most active in
Illinois · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Adam R
Series 63
Dallas, TX
Schlindwein Associates LLC
Adam Rich is a financial advisor at Schlindwein Associates LLC in Dallas, TX, holding a Series 63 designation with 26 years of industry experience. He has been with Schlindwein Associates since 2013. Schlindwein Associates provides discretionary and non-discretionary investment supervisory services to individual and institutional clients, offering investment guidance and consulting for corporate and not-for-profit plans. The firm manages client assets through model portfolios based on client goals and risk tolerance, employing a proprietary fund-ranking system and strategic asset allocation across mutual funds, ETFs, and alternative investments.
Timothy S
CIC, Series 65
Chicago, IL
Schlindwein Associates LLC
Timothy Schlindwein is a CIC and holds a Series 65 license with 28 years of industry experience. He has been with Schlindwein Associates LLC since 1995. The firm provides discretionary and non-discretionary investment supervisory services to individual, high-net-worth, and institutional clients, as well as offering investment guidance for corporate and not-for-profit groups. Schlindwein Associates uses a proprietary fund-ranking methodology and primarily implements portfolios with mutual funds and ETFs, incorporating alternative asset categories for diversification.
Edgar C
Series 65
Dallas, TX
Schlindwein Associates LLC
Edgar Cortez is a financial advisor at Schlindwein Associates LLC with a Series 65 credential and two years of industry experience. He has held roles at several firms, including BNY Mellon, Broadridge, Charles Schwab, Personal Capital, and Fidelity Investments. Schlindwein Associates provides discretionary and non-discretionary investment supervisory services to individual and institutional clients, offering investment guidance for corporate and not-for-profit groups. The firm employs a proprietary fund-ranking methodology to establish strategic asset allocation and risk parameters, typically utilizing mutual funds and ETFs while incorporating alternative asset categories for diversification.
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