Richard Swartz
Swartz Advisory · Indianapolis, Indiana
Richard Swartz is a fee-only financial advisor at Swartz Advisory in Indianapolis, Indiana, who holds the CFA credential. Swartz Advisory reports charging a percentage of assets and hourly fees on its Form ADV.
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Facts
| Firm | Swartz Advisory |
|---|---|
| Based in | Indianapolis, Indiana |
| Fee model (firm's Form ADV) | Percentage of assets · Hourly |
| Assets under management | $15.0M across 3 accounts |
| Credentials | CFA |
| SEC registration | Investment adviser representative in IN · CRD 7005010 |
| Exams passed | Series 63 (2023) · Series 65 (2018) |
| Firm size | 1 employee |
| Disclosures | None reported |
How Richard's firm compares
- Swartz Advisory's average account is about $5.0 million, from its Form ADV (assets managed divided by 3 accounts).
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Questions about Richard
Is Richard Swartz a fee-only financial advisor?
Yes, according to SEC records as of October 29, 2026: Richard holds no broker registration, and Swartz Advisory reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency on its Form ADV.
How does Richard charge for financial advice?
Richard's firm, Swartz Advisory, reports charging a percentage of assets and hourly fees on its SEC Form ADV.
Where is Richard Swartz based?
Richard Swartz is based in Indianapolis, Indiana.
What credentials does Richard Swartz hold?
Richard Swartz holds the CFA credential.
Is Richard Swartz registered with the SEC?
Yes. Richard Swartz is registered as an investment adviser representative in IN (CRD 7005010), per SEC Investment Adviser Public Disclosure data as of October 29, 2026.
How much does Swartz Advisory manage?
Swartz Advisory reports $15.0M across 3 accounts in assets under management.
How do I contact Richard Swartz?
Contact details aren't on file yet. Search for Swartz Advisory.
What these terms mean: fee-only · fiduciary · CFP · CRD number · all terms
Where this information comes from
- SEC adviser records : the firm's Form ADV reports no commissions, no broker-dealer, and no insurance sales or affiliated insurance agency, and the advisor holds no broker registration
- SEC Investment Adviser Public Disclosure : registration, exams, and the firm's Form ADV, data as of October 29, 2026
- Directory listing last checked October 30, 2026.
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