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Walter Schwarz
43 Years of Experience
Westlake Village, CA
2 Disclosures
Walter Schwarz is a registered investment advisor at Lone Peak Asset Management, INC., based in Westlake Village, CA, with 43 years of industry experience. Walter operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning, and 1 more. Their firm serves 21 clients with $19M in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1 advisor
Number of Clients
21 clients
Average Client Portfolio
$905K average
Assets Under Management
$19.0M
Fee Structure
Minimum Investment:$100K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Fees are negotiable, subject to the discretion of the firm's Director.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location
200 N Westlake Blvd Ste 205, Westlake Village, CA, 91362
Get directionsHistory
Regulatory History (2)
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Regulatory
May 2016Final
Customer Dispute
October 2001Closed-No Action
Employment History
Current Registrations
Lone Peak Asset Management, INC.
April 1996 - Present · 30 yrs 1 mo
Previous Registrations
National Planning CorporationBroker
November 1999 - December 2003 · 4 yrs 1 mo
Royal Alliance Associates, INC.Broker
December 1998 - December 1999 · 1 yr
Lone Peak Asset Management, INC.
April 1996 - December 2020 · 24 yrs 8 mos
New England SecuritiesBroker
November 1989 - December 1990 · 1 yr 1 mo
Pim Financial Services, INC.Broker
June 1986 - December 1998 · 12 yrs 6 mos
Titan Capital CorporationBroker
September 1982 - June 1986 · 3 yrs 9 mos
Westlake Securities, INC.Broker
August 1982 - September 1982 · 1 mo
State Registrations1 state
UT
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.