{"url":"https://nivawealth.com/firms/schmitz-capital-partners-105702","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105702","regulatoryAum":131993452,"crd":"105702","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4223919","suffix":null,"lastName":"SCHMITZ","firstName":"MICHAEL","middleName":"JOSEPH"},{"crd":"1432690","suffix":null,"lastName":"SCHMITZ","firstName":"STEVEN","middleName":"JOSEPH"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-31","regulatoryAum":106066659,"clients":114,"employees":2,"offices":1},{"filedOn":"2022-03-23","regulatoryAum":145439033,"clients":118,"employees":2,"offices":1},{"filedOn":"2023-03-27","regulatoryAum":106129683,"clients":112,"employees":2,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":115016831,"clients":103,"employees":2,"offices":1},{"filedOn":"2025-04-01","regulatoryAum":125327234,"clients":103,"employees":2,"offices":1},{"filedOn":"2026-04-02","regulatoryAum":131993452,"clients":223,"employees":2,"offices":1}],"acquisitions":[{"date":"2014-12-09","datePrecision":"day","name":"Rayner & Haynor","crd":"108190","source":"adv_w","dealType":"acquisition","sellerAum":null,"sellerAumDate":null,"sourceUrl":"https://adviserinfo.sec.gov/firm/summary/108190"}],"secFileNumber":"801-33527","legalName":"Schmitz Capital Partners, LLC","displayName":"Schmitz Capital Partners","slug":"schmitz-capital-partners-105702","website":"https://schmitzcapital.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"655 Redwood Hwy, Ste 109","city":"Mill Valley","state":"CA","stateName":"California","country":"United States","postalCode":"94941"},"tradeNames":[],"registration":{"secApproved":"23 December 1988","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":591898.8878923766,"staff":{"employees":2,"advisory":2,"brokerDealerReps":2,"insuranceAgents":2,"promoters":0},"aum":{"regulatory":131993452,"discretionary":131993452,"discretionaryAccounts":288,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":223},"clientTypes":[{"label":"Individuals (other than HNW)","clients":16,"regulatoryAum":27885431},{"label":"High-net-worth individuals","clients":207,"regulatoryAum":104108021}],"feePrograms":[{"role":"main","program":"Vision 2020 Wealth Management Program","feeBasis":"marginal","fee_tiers":[{"to":500000,"pct":1.5,"from":0},{"to":1000000,"pct":1.15,"from":500000},{"to":2000000,"pct":1,"from":1000000},{"to":5000000,"pct":0.8,"from":2000000},{"to":null,"pct":0.65,"from":5000000}],"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=973265","versionId":973265,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-04-02","documentName":"FORM ADV PART 2A: FIRM BROCHURE","fee_rate_low":0.65,"fee_rate_high":1.5,"fee_negotiable":false,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning and consulting","summary":"Hourly fees are $525 for financial advisors; flat fees generally range from $1,500 to $10,000, with a 50% retainer.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=973265","versionId":973265,"submittedOn":"2026-04-02","documentName":"FORM ADV PART 2A: FIRM BROCHURE"},{"role":"other","program":"Pension consulting","summary":"Flat fees generally range from $1,500 to $10,000, charged annually for ongoing pension consulting and billed directly to the client.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=973265","versionId":973265,"submittedOn":"2026-04-02","documentName":"FORM ADV PART 2A: FIRM BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:48:42.339558+00:00","documents":[{"name":"FORM ADV PART 2A: FIRM BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=973265","versionId":973265,"submittedOn":"2026-04-02"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=973266","versionId":973266,"submittedOn":null}]},"custodians":[],"custodyNote":"Schmitz Capital Partners does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Steven Schmitz","title":"Managing Member/Chief Compliance Officer","crd":"1432690"}],"ownership":[{"label":"Steven Schmitz","detail":"Managing member/chief compliance officer in the 75% or more ownership band and a control person, since April 2015."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"655 Redwood Hwy, Ste 109","city":"Mill Valley","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"415-381-9075","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"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"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":22},{"label":"Securities issued by registered investment companies or business development companies","percent":74},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"2 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105702/PDF/105702.pdf","brochureDate":"2 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=973265","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Schmitz Capital Partners have?","answer":"Schmitz Capital Partners has 223 clients and manages $132 million for them, as of April 2026. They include 207 high-net-worth individuals and 16 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 2 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Schmitz Capital Partners offer?","answer":"Schmitz Capital Partners provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and publishing newsletters.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Schmitz Capital Partners charge?","answer":"Schmitz Capital Partners charges 0.65%–1.50% a year for its Vision 2020 Wealth Management Program. Each asset band is charged at its own rate. The fee is billed in arrears and is not negotiable.","source":"FORM ADV PART 2A: FIRM BROCHURE, filed 2 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Schmitz Capital Partners have?","answer":"Schmitz Capital Partners has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 2 employees are registered representatives of a broker-dealer and 2 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Schmitz Capital Partners invest in?","answer":"At the end of its last fiscal year, Schmitz Capital Partners’ separately managed accounts held 74% registered funds (mutual funds, ETFs, BDCs), 22% exchange-traded equities and 6% cash and equivalents.","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 Schmitz Capital Partners?","answer":"Schmitz Capital Partners’ direct owner is Steven Schmitz (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 2 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Schmitz Capital Partners get paid?","answer":"Schmitz Capital Partners is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no 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"}},{"question":"How do I contact Schmitz Capital Partners?","answer":"Schmitz Capital Partners’ main office is at 655 Redwood Hwy, Ste 109, Mill Valley, CA 94941. Its phone number is 415-381-9075. Its website is schmitzcapital.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 April 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"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 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."}