Scott Schwartz has been an investment adviser representative at Individual Asset Management since October 2025, and is not listed among the firm’s executive officers or direct owners.
Individual Asset Management, Inc is a San Mateo, CA firm with $173M under management, 190 clients and 5 advisers in one office, as of its March 2026 filing.
Scott Schwartz is Principal of Individual Asset Management, Inc. (IAM). He specializes in investment management and fund-of-funds strategies, with a focus on portfolios for US citizens living part- or full-time in Europe. He has more than 30 years of experience in US and global markets, has served as Managing Director for a cross-border UK/US investment firm, and is the author of Investing in a New Climate (2021).
Scott Schwartz’s longest registration was 12 years at Sas Financial Advisors (2002–2014). Before joining Individual Asset Management in 2025, Scott Schwartz was registered through Alexander Beard (USA), Inc. and Cleary Gull Inc.
- – present · 1 yearSan Mateo, CA · Adviser representative · Firm CRD 123418
- Ententvest Inc.Also current– present · 5 yearsPalo Alto, CA · Adviser representative · Firm CRD 311563
- Alexander Beard (USA), Inc.– · 4 yearsEllesmere Port, Cheshire · Adviser representative · Firm CRD 134642
- – · 2 yearsMenlo Park, CA · Adviser representative · Firm CRD 123418
- Cleary Gull Inc.– · 2 yearsMilwaukee, WI · Adviser representative · Firm CRD 45309
- Alexander Beard (USA), LLC– · 3 yearsSan Francisco, CA · Adviser representative · Firm CRD 134642
- Sas Financial Advisors– · 12 yearsSan Francisco, CA · Adviser representative · Firm CRD 119769
Professional designations
Listed by Individual Asset Management
- CFP®
- CIMA®
- AIF®
Investment adviser representative registrations
Scott Schwartz is registered as an investment adviser representative in California, since January 2021.
- CaliforniaSince 9 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 21 January 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 January 1995 |
| Series 7 | General Securities Representative Examination | 13 October 1994 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Scott Alan Schwartz
- CRD
- 2518654
- Firm
- Individual Asset Management · CRD 123418
- Office
- 411 BOREL AVENUE, SUITE 502, San Mateo, CA 94402
- Registration
- Investment adviser registration
- In the industry since
- April 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- iamadvisors.com
Where does Scott Schwartz work?
Scott Schwartz is an investment adviser representative registered through Individual Asset Management, Inc since October 2025, and is not listed among the firm’s executive officers or direct owners.
Is Scott Schwartz a financial advisor?
Yes. Scott Schwartz has a current investment-adviser registration in California, through Individual Asset Management since October 2025.
How many years of experience does Scott Schwartz have?
Scott Schwartz has 24 years in the financial industry, since April 2002, across 5 adviser firms.
What exams has Scott Schwartz passed?
Scott Schwartz has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in October 1994.
Where did Scott Schwartz work before Individual Asset Management?
Before Individual Asset Management, Scott Schwartz was registered through Alexander Beard (USA), Inc., January 2017 to November 2021; Individual Asset Management, Inc, October 2014 to April 2017; Cleary Gull Inc., January 2010 to September 2012; Alexander Beard (USA), LLC, July 2005 to July 2009; Sas Financial Advisors, April 2002 to October 2014.
Where is Scott Schwartz based?
Scott Schwartz’s registered office is in San Mateo, CA.
Is Scott Schwartz registered with FINRA?
No. Scott Schwartz has no current broker registration.
Is Scott Schwartz a CFP?
Individual Asset Management lists Scott Schwartz with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: Scott Schwartz, CFP® CIMA® AIF® biography, iamadvisors.com
How can I verify Scott Schwartz’s record?
Search CRD 2518654 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Scott Schwartz’s full registration record.