# W. Swartz & Co., LLC

> W. Swartz & Co., LLC is a state-registered investment advisory firm, registered since 2015, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated August 24, 2026.

- CRD: 256786
- Filed as: W. SWARTZ & CO., LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Missouri
- Filing period: October 2026
- Form ADV filing dated: August 24, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/256786
- AdvisorCensus page: https://advisorcensus.com/firm/w-swartz-and-co-llc-256786

## Quick answers

**How is W. Swartz & Co., LLC compensated?**
On its Form ADV (Item 5.E, October 2026), W. Swartz & Co., LLC reports these compensation arrangements: a percentage of assets under its management.

**Is W. Swartz & Co., LLC registered with the SEC or a state?**
W. Swartz & Co., LLC is a state-registered investment advisory firm, registered since 2015. Status as filed: APPROVED. CRD 256786.

**How much does W. Swartz & Co., LLC manage?**
W. Swartz & Co., LLC reports $38,800,600 in regulatory assets under management in its Form ADV filing dated August 24, 2026 (100% discretionary).

**What types of clients does W. Swartz & Co., LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (48); high net worth individuals (39).

**Does W. Swartz & Co., LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/256786

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $38,800,600
- Discretionary: $38,800,600
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 48 | $5,800,500 |
| High net worth individuals | 39 | $33,000,100 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2015 (11 years)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MO
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- wswartz.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. W. Swartz & Co., LLC (CRD 256786): Form ADV filing data as of October 2026.