Services and clients
Gregory J. Schwartz & Co. provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, publishing newsletters, and educational seminars.
Financial planning was provided to 2,000 clients last fiscal year.
Clients
Gregory J. Schwartz & Co. reports 1,737 clients. They include 765 other individual clients, 637 high-net-worth individuals, and 193 pension and profit-sharing plans.
AUM per wealth client averages the assets reported for individuals and high-net-worth individuals over their reported client counts. It excludes institutional clients.
- Individuals (other than HNW)765 clients$598.5M in assets
- High-net-worth individuals637 clients$1.45B in assets
- Pension and profit-sharing plans193 clients$7.86B in assets
- Charitable organizations57 clients$103.6M in assets
- State or municipal government entities2 clients$19.5M in assets
- Other client types83 clients$451.3M in assetsCorporations and other businesses
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 765 | $598,499,467 | 5.7% | $782K |
| High-net-worth individuals | 637 | $1,451,644,703 | 13.8% | $2.28M |
| Pension and profit-sharing plans | 193 | $7,864,975,586 | 75.0% | $40.8M |
| Charitable organizations | 57 | $103,564,909 | 1.0% | $1.82M |
| State or municipal government entities | 2 | $19,500,000 | 0.2% | $9.75M |
| Corporations and other businesses | 83 | $451,274,902 | 4.3% | $5.44M |
| Total | 1,737 | $10,489,459,567 | 100% | $6.04M |
- Clients
- 765
- Regulatory AUM
- $598,499,467
- AUM share
- 5.7%
- Avg. per client
- $782K
- Clients
- 637
- Regulatory AUM
- $1,451,644,703
- AUM share
- 13.8%
- Avg. per client
- $2.28M
- Clients
- 193
- Regulatory AUM
- $7,864,975,586
- AUM share
- 75.0%
- Avg. per client
- $40.8M
- Clients
- 57
- Regulatory AUM
- $103,564,909
- AUM share
- 1.0%
- Avg. per client
- $1.82M
- Clients
- 2
- Regulatory AUM
- $19,500,000
- AUM share
- 0.2%
- Avg. per client
- $9.75M
- Clients
- 83
- Regulatory AUM
- $451,274,902
- AUM share
- 4.3%
- Avg. per client
- $5.44M
Total
- Clients
- 1,737
- Regulatory AUM
- $10,489,459,567
- AUM share
- 100%
- Avg. per client
- $6.04M
1.7% of assets ($180.6M across 18 accounts) are managed with discretion; $10.31B across 1,719 accounts are not.
Additional activity details
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 2000
Fees and minimums
Gregory J. Schwartz & Co. is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees).
Fees are reported separately by fund or service. See the brochure for the applicable rates and minimums.
Read the SEC-filed brochureFee details and sources
Financial Planning and Consulting Services
No percentage schedule disclosed.
Source and fee terms
ADV PART 2A - FIRM BROCHURE (2025-12), submitted 30 March 2026.
Fees for financial planning and consulting services may be charged at an hourly or at a fixed fee rate.PDF pages 9
RBC Unified Portfolio
No percentage schedule disclosed.
Source and fee terms
ADV PART 2A - FIRM BROCHURE (2025-12), submitted 30 March 2026.
The Program fee structure may vary depending on the Program and services selected.PDF pages 9
Retirement Plan Services
Up to 1.00% a year. Negotiable.
Source and fee terms
ADV PART 2A - FIRM BROCHURE (2025-12), submitted 30 March 2026.
The maximum annual fee for such services is 1.0% or 100 basis points.PDF pages 8
Fees are negotiable and vary based on the nature and scope of services provided PDF pages 8
Wealth Management and Institutional Advisory
Up to 1.50% a year. Negotiable.
Source and fee terms
ADV PART 2A - FIRM BROCHURE (2025-12), submitted 30 March 2026.
The maximum annual fee for such services is 1.5% or 150 basis points.PDF pages 8
Fees are negotiable and may vary on a client-by-client basis PDF pages 8
Ownership and people
- Owns 10% to 25% of Gregory J. Schwartz & Co., Inc.
Gregory John JR Schwartz
Control person · since May 2000
- Owns 10% to 25% of Gregory J. Schwartz & Co., Inc.
Edward Augustine Schwartz
Control person · since August 2001
- Owns 10% to 25% of Gregory J. Schwartz & Co., Inc.
Walter George Schwartz
Control person · since August 2001
- Owns 10% to 25% of Gregory J. Schwartz & Co., Inc.
Joseph Emmet Schwartz
Control person · since March 1992
- Owns 10% to 25% of Gregory J. Schwartz & Co., Inc.
Peter Francis Schwartz
Control person · since August 2001
Staff
- 30 employees
- 23 in advisory functions
- 23 state-registered reps
- 28 broker-dealer reps
- 9 insurance agents
- 1 soliciting firm
Investments and reported holdings
What the accounts hold
- Stocks5%
- Funds93%
- Bonds1%
- Cash1%
Custodians
Gregory J. Schwartz & Co.’s named custodians for separately managed accounts include Fidelity ($3,700,000,000), and RBC Capital Markets ($2,398,409,077). Gregory J. Schwartz & Co. has custody of client assets.
- Fidelity Management Trust CompanyCovington, KY
- $3,700,000,000
- RBC Capital Markets, LLCMinneapolis, MN
- $2,398,409,077
- EmpowerDenver, CO
- $1,600,000,000
Offices and registration details
Besides its headquarters, Gregory J. Schwartz & Co. has 1 office, with 2 listed addresses across 2 states.
Florida · 1 listed address
- 4040 Gulf Shore BLVD N, Naples
Michigan · 1 listed address
- 3707 W. Maple RD, Ste 201, Bloomfield HillsHQ
Other business names
Gregory J. Schwartz & Co. has reported 1 other business name to the SEC.
- Schwartz & Co.
Registration details
- Legal name
- Gregory J. Schwartz & Co., Inc.
- Website
- Not reported
- Headquarters
- 3707 W. Maple RD, Ste 201, Bloomfield Hills, MI 48301
- @schwartzandco
- SEC file
- 801-62856
- Structure
- Michigan corporation
- Fiscal year end
- December
- State notice filings
- 35 jurisdictions, most recently 30 March 2026
Notice filing jurisdictions
- Alabama
- Notice Filed · 30 March 2026
- Arizona
- Notice Filed · 28 June 2016
- California
- Notice Filed · 15 June 2015
- Colorado
- Notice Filed · 9 January 2023
- Connecticut
- Notice Filed · 28 June 2016
- District of Columbia
- Notice Filed · 18 March 2025
- Florida
- Notice Filed · 15 June 2015
- Georgia
- Notice Filed · 25 January 2024
- Illinois
- Notice Filed · 8 July 2015
- Indiana
- Notice Filed · 25 January 2024
- Kentucky
- Notice Filed · 30 March 2026
- Louisiana
- Notice Filed · 9 January 2023
- Maine
- Notice Filed · 18 March 2025
- Maryland
- Notice Filed · 18 March 2025
- Massachusetts
- Notice Filed · 18 March 2025
- Michigan
- Notice Filed · 15 March 2004
- Minnesota
- Notice Filed · 9 January 2023
- Missouri
- Notice Filed · 18 March 2025
- Nebraska
- Notice Filed · 9 January 2023
- Nevada
- Notice Filed · 25 January 2024
- New Hampshire
- Notice Filed · 25 January 2024
- New Jersey
- Notice Filed · 9 January 2023
- New Mexico
- Notice Filed · 15 June 2015
- New York
- Notice Filed · 7 April 2016
- North Carolina
- Notice Filed · 9 January 2023
- Ohio
- Notice Filed · 9 January 2023
- Oklahoma
- Notice Filed · 18 March 2025
- Oregon
- Notice Filed · 18 March 2025
- Pennsylvania
- Notice Filed · 9 January 2023
- South Carolina
- Notice Filed · 28 July 2016
- Tennessee
- Notice Filed · 28 July 2016
- Texas
- Notice Filed · 28 July 2016
- Virginia
- Notice Filed · 18 March 2025
- Washington
- Notice Filed · 18 March 2025
- Wisconsin
- Notice Filed · 28 July 2016
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
How many clients does Gregory J. Schwartz & Co. have?
Gregory J. Schwartz & Co. has 1,737 clients and manages $10.5 billion for them, as of March 2026. They include 765 other individual clients, 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
What services does Gregory J. Schwartz & Co. offer?
Gregory J. Schwartz & Co. 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
Which custodians does Gregory J. Schwartz & Co. use?
Gregory J. Schwartz & Co.’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
How many financial advisors does Gregory J. Schwartz & Co. have?
Gregory J. Schwartz & Co. has 23 investment adviser representatives registered with state securities authorities, out of 30 employees, and 23 perform investment advisory functions. 28 employees are registered representatives of a broker-dealer and 9 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Gregory J. Schwartz & Co. invest in?
At the end of its last fiscal year, Gregory J. Schwartz & Co.’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.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Gregory J. Schwartz & Co.?
Gregory J. Schwartz & Co.’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
How does Gregory J. Schwartz & Co. get paid?
Gregory J. Schwartz & Co. 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