{"url":"https://nivawealth.com/firms/gregory-j-schwartz-and-7294","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/7294","regulatoryAum":10489459567,"crd":"7294","secFileNumber":"801-62856","legalName":"Gregory J. Schwartz & Co., Inc.","displayName":"Gregory J. Schwartz &","website":null,"linkedinUrl":"https://www.linkedin.com/company/schwartzandco/","founded":null,"organization":"Michigan corporation","fiscalYearEnd":"December","headquarters":{"street":"3707 W. Maple RD, Ste 201","city":"Bloomfield Hills","state":"MI","stateName":"Michigan","country":"United States","postalCode":"48301"},"tradeNames":["Schwartz & Co."],"registration":{"secApproved":"15 March 2004","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":30,"advisory":23,"brokerDealerReps":28,"insuranceAgents":9,"promoters":1},"aum":{"discretionary":180596727,"discretionaryAccounts":18,"nonDiscretionary":10308862840,"nonDiscretionaryAccounts":1719,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":765,"regulatoryAum":598499467},{"label":"High-net-worth individuals","clients":637,"regulatoryAum":1451644703},{"label":"Pension and profit-sharing plans","clients":193,"regulatoryAum":7864975586},{"label":"Charitable organizations","clients":57,"regulatoryAum":103564909},{"label":"State or municipal government entities","clients":2,"regulatoryAum":19500000},{"label":"Corporations and other businesses","clients":83,"regulatoryAum":451274902}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"RBC Capital Markets, LLC","shortName":"RBC Capital Markets","location":"Minneapolis, MN","smaAssets":2398409077},{"name":"Fidelity Management Trust Company","shortName":"Fidelity","location":"Covington, KY","smaAssets":3700000000},{"name":"Empower","shortName":"Empower","location":"Denver, CO","smaAssets":1600000000}],"custodyNote":"Gregory J. Schwartz & has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gregory John JR Schwartz","title":"Vice-President","crd":"1177836"},{"name":"Walter George Schwartz","title":"Vice-President","crd":"1282286"},{"name":"Edward Augustine Schwartz","title":"President/CEO","crd":"2166324"},{"name":"Peter Francis Schwartz","title":"Vice-President","crd":"2168931"},{"name":"Laura Lea Powers","title":"CFO, CCO, FINOP","crd":"4413799"},{"name":"Gregory John Schwartz","title":"Chairman of the Board","crd":"416277"},{"name":"Joseph Emmet Schwartz","title":"Treasurer/Secretary","crd":"2168945"}],"ownership":[{"label":"Gregory John JR Schwartz","detail":"Vice-president in the 10% to 25% ownership band and a control person, since May 2000."},{"label":"Edward Augustine Schwartz","detail":"President/ceo in the 10% to 25% ownership band and a control person, since August 2001."},{"label":"Walter George Schwartz","detail":"Vice-president in the 10% to 25% ownership band and a control person, since August 2001."},{"label":"Joseph Emmet Schwartz","detail":"Treasurer/secretary in the 10% to 25% ownership band and a control person, since March 1992."},{"label":"Peter Francis Schwartz","detail":"Vice-president in the 10% to 25% ownership band and a control person, since August 2001."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"4040 Gulf Shore BLVD N","city":"Naples"}]},{"state":"Michigan","offices":1,"addresses":[{"street":"3707 W. Maple RD, Ste 201","city":"Bloomfield Hills","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"248-644-2701","stateRegisteredReps":23,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"2000","assetMix":[{"label":"Exchange-traded equity securities","percent":5},{"label":"U.S. government/agency bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":93},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/7294/PDF/7294.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Gregory J. Schwartz & have?","answer":"Gregory J. Schwartz & has 1,737 clients and manages $10.5 billion for them, as of March 2026. They include 765 other individuals, 637 high-net-worth individuals and 193 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Gregory J. Schwartz & offer?","answer":"Gregory J. Schwartz & provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, publishing newsletters and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Gregory J. Schwartz & use?","answer":"Gregory J. Schwartz &’s separately managed account assets are held at Fidelity Management Trust Company (Covington, KY), with $3,700,000,000, RBC Capital Markets, LLC (Minneapolis, MN), with $2,398,409,077 and Empower (Denver, CO), with $1,600,000,000. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Gregory J. Schwartz & have?","answer":"Gregory J. Schwartz & has 23 investment adviser representatives registered with state securities authorities, out of 30 employees, and 23 perform investment advisory functions. 28 are registered representatives of a broker-dealer and 9 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Gregory J. Schwartz & invest in?","answer":"At the end of its last fiscal year, Gregory J. Schwartz &’s separately managed accounts held 93% registered funds (mutual funds, ETFs, BDCs), 5% exchange-traded equities, 1% U.S. government and agency bonds and 1% cash and equivalents. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Gregory J. Schwartz &?","answer":"Gregory J. Schwartz &’s direct owners are Gregory John JR Schwartz, Edward Augustine Schwartz, Walter George Schwartz, Joseph Emmet Schwartz and Peter Francis Schwartz, each holding 25% or less.","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Gregory J. Schwartz & get paid?","answer":"Gregory J. Schwartz & is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}