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Eric Schwartz

Arax Advisory Partners
32 Years of Experience
Naples, FL
4 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Eric Schwartz is a registered investment advisor at Arax Advisory Partners, based in Naples, FL, with 32 years of industry experience. Eric operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 9 more. Their firm serves 15,662 clients with $27B in assets under management.

Arax Advisory Partners
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
226 advisors
Number of Clients
15,662 clients
Average Client Portfolio
$1.7M average
Assets Under Management
$26.5B

Fee Structure

Minimum Investment:$50K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Rates generally range from 0.50% to 3.00% per year for assets under management, varying based on account size and complexity. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

821 5th Avenue South, Suite 102, Naples, FL, 34102

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History

Regulatory History (4)
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
August 2022
Settled
Customer Dispute
July 2019
Denied
Customer Dispute
May 2019
Settled
Customer Dispute
April 2019
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Eric is a member of EJD Realty Associates, LLC, a partnership managing real estate in New Lebanon, NY and Bonita Springs, FL, spending minimal time on it. He is also an agent for Transcend Wealth Collective Insurance Services, selling non-variable insurance, dedicating about 10-20% of his time to this activity.

Employment History
Current Registrations
Arax Advisory Partners
August 2026 - Present · 2 mos
Transcend Capital Advisors, LLC
January 2019 - Present · 7 yrs 9 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
January 2019 - March 2020 · 1 yr 2 mos
UBS Financial Services INC.Broker
February 2009 - January 2019 · 9 yrs 11 mos
UBS Financial Services INC.
February 2009 - January 2019 · 9 yrs 11 mos
Citigroup Global Markets INC.
May 2006 - March 2009 · 2 yrs 10 mos
Citigroup Global Markets INC.Broker
March 1994 - March 2009 · 15 yrs
State Registrations2 states
FLNJ
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.
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