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Wayne Schwartz

Strategic Financial Concepts, LLC
31 Years of Experience
Austin, TX
4 DisclosuresSells Insurance
View SEC Summary
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Wayne Schwartz is a registered investment advisor at Strategic Financial Concepts, LLC, based in Austin, TX, with 31 years of industry experience. Wayne operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 3,824 clients with $930M in assets under management.

Strategic Financial Concepts, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
40 advisors
Number of Clients
3,824 clients
Average Client Portfolio
$243K average
Assets Under Management
$927.7M

Fee Structure

Minimum Investment:$250K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.50%
$500K - $1.0M2.00%
$1M+1.50%

Fees are negotiable based on individual client circumstances and the scope of the relationship. LPL sponsored advisory program fees have separate maximums up to 2.50% or 3.00%.

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

Location

Austin, TX

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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.
Regulatory
January 2004
Final
Employment Separation After Allegations
May 2001
Regulatory
April 2001
Final
Employment Separation After Allegations
May 1998
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Wayne is an independent insurance agent doing business as Capital Retirement Planning Group. This is part of his daily activities.

Employment History
Current Registrations
Strategic Financial Concepts, LLC
June 2011 - Present · 15 yrs 4 mos
Previous Registrations
Choice Advisory Group, INC.
January 2009 - June 2011 · 2 yrs 5 mos
Choice Investments, INC.Broker
November 2008 - June 2011 · 2 yrs 7 mos
Strategic Financial Concepts, LLC
August 2007 - November 2008 · 1 yr 3 mos
Intersecurities, INC.
April 2004 - August 2007 · 3 yrs 4 mos
Intersecurities, INC.Broker
March 2004 - August 2007 · 3 yrs 5 mos
Woodbury Financial Services, INC.Broker
July 2001 - January 2004 · 2 yrs 6 mos
Woodbury Financial Services, INC.Broker
August 1998 - May 2001 · 2 yrs 9 mos
Intersecurities, INC.Broker
February 1995 - May 1998 · 3 yrs 3 mos
State Registrations1 state
TX
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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