W. Swartz & Co., LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
W. Swartz & Co., LLC provides discretionary and non‑discretionary portfolio management, investment counseling, and consultative financial planning to individuals, high‑net‑worth clients, and business entities. The firm manages approximately $38.8 million in client assets and develops individualized asset allocation models through client interviews and ongoing relationship management.
Investment decisions are guided primarily by fundamental analysis and a long‑term purchase orientation, with the adviser using third‑party research and computer models as part of its security selection process. Accounts are customized to client‑imposed restrictions, reviewed on a weekly basis by the firm’s principal, and supported by quarterly market update conference calls and at least annual client meetings.
A noteworthy feature of the firm is that its representatives may also be licensed insurance agents and may recommend commission‑based insurance products in addition to advisory services; the brochure discloses this potential conflict and describes policies to mitigate it and informs clients of their choice to purchase insurance elsewhere. The firm also reports it does not accept soft‑dollar arrangements, does not sponsor a wrap program, and forwards proxy materials to clients for voting rather than voting proxies on their behalf.
Client services
Expertise
Fee options
$0 - $2,000,000: 1.00% $2,000,000.01 - $3,000,000: 0.90% $3,000,000.01 - $4,000,000: 0.80% $4,000,000.01+: 0.70%
Account minimum: $25,000
Main office
Wildwood MO
Advisors at this office
2
Most active in
Missouri · 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 active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
Forms ADV
Advisors at this firm
Wyatt S
Series 66
Wildwood, MO
W. Swartz & Co., LLC
Wyatt Swartz is a financial advisor with W. Swartz & Co., LLC, holding a Series 66 designation and 14 years of industry experience. He has been with W. Swartz & Co., LLC since 2015. W. Swartz & Co., LLC provides discretionary and non-discretionary portfolio management, investment counseling, and financial planning services to individuals, high-net-worth clients, and business entities. The firm manages approximately $38.8 million in client assets and bases investment decisions on fundamental analysis and long-term purchase strategies.
Joseph S
Series 66
Wildwood, MO
W. Swartz & Co., LLC
Joseph Scherer Jr. is a financial advisor at W. Swartz & Co., LLC with 13 years of industry experience. He holds the Series 66 designation and has worked at firms including Charles Schwab and CitiGroup. Outside of his advisory role, he is involved with EGIS FINANCIAL, where he sells FDIC-insured cash account products and manages a sales team, and he also conducts insurance sales for various companies. W. Swartz & Co., LLC provides discretionary and non-discretionary portfolio management, investment counseling, and financial planning to individuals, high-net-worth clients, and business entities. The firm uses fundamental analysis and a long-term purchase orientation in its investment decisions, customizing accounts based on client restrictions and offering regular reviews and market update communications.
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