S
Swartz Advisory LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$14,988,000
Total clients
3
33% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
3
Average account size
$4,996,000
About
The firm provides discretionary and non-discretionary investment management and financial planning services to individuals, high‑net‑worth clients, trusts, and business entities. Its most recent ADV discloses roughly $14 million in discretionary assets under management across a very small number of client relationships.
The firm’s investment process integrates fundamental, technical, charting, and cyclical analysis and supports both long‑ and short‑term strategies, option writing, and active trading. The ADV also discloses the use of derivatives and the ability to trade on margin or employ leverage in managed accounts—features the brochure highlights in its discussions of derivatives risk, trading on margin, and leveraged risk.
Among peers of this size, the firm’s profile is notable for combining a broad menu of instruments and alternative exposures (derivatives, structured notes, hedge funds/private placements, REITs) with individualized portfolio construction and periodic account reviews. The ADV further discloses formal advisory policies (e.g., written client restrictions, quarterly account reviews, and custodian‑delivered account statements) and lists advanced investment credentials for the principal, which together distinguish its practice from many similarly sized advisers.
Client services
Financial planning
Portfolio management
Expertise
Equity compensation tax strategy
Options & derivatives strategies
Tax-loss harvesting
Fee options
1% annually
$100 per hour for financial planning services
Fee-only: $100 per hour for financial planning services
Main office location
Swartz Advisory LLC
Indianapolis IN, United States
Number of offices
1
Most active in
Swartz Advisory LLC has reported serving >5 clients in these states in the last 12 months.
Indiana
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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