Joe Schwarz

SCHWARZ DYGOS WHEELER INVESTMENT ADVISORs LLC

50 South Sixth Street
#1405

Minneapolis, MN 55402

612-355-4365

BUILDING AND PRESERVING YOUR WEALTH

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

Firm Start Year

2008

No.of Employees

5-9

CRD#

147384

Firm CRD#

147384

Insurance License#

not licensed for insurance

Name of Custodial Firm

Fidelity Investments

States Licensed in

MN FL WI TX IL

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

19 years

I work with the following types of clients

Pre-Retired and Retirees

Services

Investment Types

Portfolio Management, Mutual Funds, Options & Futures, Bonds, Stocks, Exchange Traded Funds (ETFs)

I can meet clients in the following ways

Via Email, Video Conference, At your home, At my office, At your office, Via Phone

Compliance

Registered Investment Advisor

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

Chartered Financial Analyst (CFA)

Securities Licenses

Series 63

Financial Organization Memberships

CFA Society of Minnesota

Firm Information

Firm's Number of Clients

333

Assets Managed by Firm

$298,000,000

Advisor's Number of Clients

Assets Managed by Advisor

$57,000,000

Compensation and Fees

Fee Structure

Fee-Based

Compensation Methods

Based on Assets

Additional Details on Charges

as an RIA, commissions are not received

Education

BS of Economics -

Unniversity of Minnesota
-

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