Advisor at Swartz Advisory LLC
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Swartz Advisory LLC
Location
Indianapolis, IN
Credentials
CFA®, Series 63, Series 65
Industry experience
7 years
Richard Swartz is a CFA charterholder and principal of Swartz Advisory LLC in Indianapolis, Indiana, with seven years of industry experience. He has held roles at Ready4, Inc., First Analysis, and Veritas Prep prior to founding his current firm in 2018. Swartz Advisory LLC provides discretionary and non-discretionary investment management and financial planning services to individuals, high net worth clients, trusts, and business entities. The firm employs a combination of fundamental, technical, charting, and cyclical analysis tailored to client objectives, and utilizes derivatives and margin strategies uncommon among similar independent advisory firms.
Based on Swartz Advisory LLC
1% annually
$100 per hour for financial planning services
Fee-only: $100 per hour for financial planning services
Indianapolis, IN
Indiana
Swartz Advisory LLC
2018 - Present (8 years)
Swartz Consulting LLC
2018 - 2020 (2 years)
Ready4, Inc.
2017 - 2018 (1 year)
First Analysis
2017 - 2017 (1 year)
Veritas Prep
2016 - 2018 (2 years)
Unemployed
2015 - 2016 (1 year)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is not active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
CFP®
Indianapolis, IN
WealthGuides LLC
I'm a fiduciary & CERTIFIED FINANCIAL PLANNER living in Indianapolis, Indiana but serving clients nationwide. For years I've helped individuals and families plan for retirement and other imporant financial decisions. In college, I studied economics with a concentration in finance. After college, I worked for large wealth management firm in Indiana and then a boutique financial advising office specializing in retirement planning. That firm was later acquired and after a few years working for the acquiring firm I left to start WealthGuides. As an advisor I've worked with clients age 22 to 92. While I've worked with a wide range of people, I've always found my passion was with working with people to create a plan for retirement. As an advisor I provide guidance to my clients on taxes, their investment portfolios, estate planning, & charitable giving amongst others areas. I show people where they can save on taxes and I give clarity and strategies for how my clients can maximize the potential for what they can spend on themselves and give to others. On the personal side I'm a runner, a reader, a cat dad, and a traveler. I also enjoy sipping on a nice glass of wine or whiskey.
Series 63, Series 65
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Series 63, Series 65
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Highsmith Financial Planning, LLC
Series 63, Series 65
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Austin Financial Strategies, Inc.
Series 63, Series 65
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C.R. Retirement Strategies, LLC
CFP®, Series 63
Beech Grove, IN
Henthorn Agency, Inc.
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