W. Swartz & Co., LLC

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Client assets under management

$38,800,600

Clients

45% high-net worth

Advisors

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

Typical

Average account size

$445,984

About

W. Swartz & Co., LLC provides discretionary and non‑discretionary portfolio management and individualized investment planning to individuals — including high‑net‑worth clients — and business entities, and it offers consultative financial planning that the brochure describes as unpaid and separate from formal management agreements. Clients may impose written restrictions on investments, and the firm indicates account minimums can be waived at its discretion.

The firm constructs customized asset‑allocation models for each client and implements them primarily through fundamental analysis and a long‑term purchase approach, using equities, ETFs, bonds, mutual funds and other securities. Ongoing oversight includes weekly portfolio reviews by the firm’s principal, quarterly market‑update conference calls for clients, and attempts to meet clients at least annually.

What is noteworthy about the firm is that its representatives may also be licensed insurance agents who recommend insurance products and receive commissions; the brochure discloses this affiliation as a potential conflict of interest and describes internal policies and disclosures intended to mitigate it. The firm also highlights that it does not sponsor a wrap program, does not use soft‑dollar arrangements, and does not vote client proxies.

Client services

Financial planning Portfolio management

Expertise

Wealth management

Fee options

Percentage

$0 - $2,000,000: 1.00% $2,000,000.01 - $3,000,000: 0.90% $3,000,000.01 - $4,000,000: 0.80% Over $4,000,000+: 0.70%

Other

Account minimum: $25,000 Minimum fee: Accounts under $10,000 will not be charged an annual fee

Main office location

W. Swartz & Co., LLC

Wildwood MO, United States

Number of offices

Most active in

Missouri · Texas

Disclosures

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Is not active or affiliated with:

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.

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Facebook X Website 636-667-5209

Advisors at this firm

Wyatt S

Series 66

Wildwood, MO

W. Swartz & Co., LLC

Wyatt Swartz is a financial advisor at W. Swartz & Co., LLC with 13 years of industry experience. He holds a Series 66 designation and has been with the firm since 2015. W. Swartz & Co., LLC provides portfolio management and investment counseling to individuals, high-net-worth clients, and business entities, offering both discretionary and non-discretionary management alongside consultative financial planning. The firm emphasizes fundamental analysis and long-term investments, tailoring portfolios based on clients’ objectives, time horizon, and risk parameters.

Wealth management

Joseph S

Series 66

Wildwood, MO

W. Swartz & Co., LLC

Joseph Scherer Jr. is a financial advisor at W. Swartz & Co., LLC with 12 years of industry experience. He holds a Series 66 designation and has worked at firms including Charles Schwab, Citigroup, and J.P. Morgan Securities. Outside of his advisory role, he is involved with EGIS Financial, where he manages a sales team and sells FDIC-insured cash account products, and he also works as an insurance agent. W. Swartz & Co., LLC provides portfolio management and investment counseling to individuals, high-net-worth clients, and business entities, offering both discretionary and non-discretionary management alongside consultative financial planning. The firm emphasizes fundamental analysis and long-term purchases, tailoring portfolios based on client objectives, time horizon, and risk tolerance.

Wealth management

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