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David Schwarz

Robert W. Baird & CO. Incorporated
34 Years of Experience
Columbus, OH
1 DisclosureBroker
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David Schwarz is a registered investment advisor at Robert W. Baird & CO. Incorporated, based in Columbus, OH, with 34 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 3 more. Their firm serves 241,359 clients with $390B in assets under management.

Robert W. Baird & CO. Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2620 advisors
Number of Clients
241,359 clients
Average Client Portfolio
$1.6M average
Assets Under Management
$394.1B

Fee Structure

Investment management only (planning not offered)

Robert W. Baird & Co. charges an ongoing annual fee for portfolio management, which is bundled with trade execution and custody services as part of a wrap fee program. The specific fee amount depends on the chosen program, strategy, and the size of your portfolio, and is generally calculated as a percentage of the assets they manage for you. Additional costs may apply if managers execute trades away from Baird or if you utilize specialized overlay services.

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Location

4215 Worth Ave, Suite 200, Columbus, OH, 43219

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David reviews the balance sheet and income statement for Local Matters quarterly. He dedicates minimal time to this activity.

Employment History
Current Registrations
Robert W. Baird & CO. Incorporated
June 2011 - Present · 15 yrs 4 mos
Robert W. Baird & CO. IncorporatedBroker
June 2011 - Present · 15 yrs 4 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - June 2011 · 2 yrs
Morgan Stanley Smith Barney LLC
June 2009 - June 2011 · 2 yrs
Citigroup Global Markets INC.
June 2003 - June 2009 · 6 yrs
Citigroup Global Markets INC.Broker
June 2003 - June 2009 · 6 yrs
Prudential Securities Incorporated
September 1998 - June 2003 · 4 yrs 9 mos
Prudential Securities IncorporatedBroker
August 1998 - June 2003 · 4 yrs 10 mos
Smith Barney INC.Broker
July 1993 - August 1998 · 5 yrs 1 mo
Lehman Brothers INC.Broker
January 1992 - July 1993 · 1 yr 6 mos
State Registrations33 states
ARAZCACODCFLGAIAILINKSKYMAMDMEMIMNMOMTNCNENVNYOHSCTNTXUTVAWAWIWVWY
AdvisorBrokerBoth

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.
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