DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Seth Howard Schwartz
Feed of 09/15/2026
Also filed as Seth H Schwartz
At current firm
9 y
since May 9, 2017
In the industry
30 y
since May 24, 1996 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Kcd Financial, Inc. independent RIA currentsince May 9, 2017 · Green Bay, Wi
- Centara Capital Management Group, Inc. formerFeb 17, 2014 to Jun 30, 2014 · San Diego, Ca
- Turner Capital Investments, LLC independent RIAApr 27, 2010 to May 4, 2017 · Encinitas, Ca
- Madison Avenue Advisors, Inc. unclassifiedMar 9, 2006 to Jun 15, 2015 · San Diego, Ca
- Independent Financial Group, LLC BD affiliatedOct 21, 2005 to Nov 18, 2005 · San Diego, Ca
- Independent Financial Group, LLC unclassifiedJun 16, 2003 to Oct 21, 2005 · San Diego, Ca
- Sentra Securities Corporation unclassifiedApr 22, 2002 to Feb 24, 2003 · San Diego, Ca
- Spelman & Co., Inc. unclassifiedApr 22, 2002 to Feb 24, 2003 · San Diego, Ca
- Sunamerica Securities, Inc. unclassifiedApr 5, 2002 to Feb 24, 2003 · Phoenix , Az
Moves
a registration end followed by a registration begin elsewhere
- Turner Capital Investments, LLC to Centara Capital Management Group, Inc.left May 4, 2017, registered Feb 17, 2014 (-1172 days) · Other
- Madison Avenue Advisors, Inc. to Turner Capital Investments, LLCleft Jun 15, 2015, registered Apr 27, 2010 (-1875 days) · Other
- Centara Capital Management Group, Inc. to Kcd Financial, Inc.left Jun 30, 2014, registered May 9, 2017 (1044 days) · Other
- Independent Financial Group, LLC to Madison Avenue Advisors, Inc.left Nov 18, 2005, registered Mar 9, 2006 (111 days) · Other
- Independent Financial Group, LLC to Independent Financial Group, LLCleft Oct 21, 2005, registered Oct 21, 2005 (0 days) · Other
- Sentra Securities Corporation to Independent Financial Group, LLCleft Feb 24, 2003, registered Jun 16, 2003 (112 days) · Other
- Sunamerica Securities, Inc. to Spelman & Co., Inc.left Feb 24, 2003, registered Apr 22, 2002 (-308 days) · Other
- Spelman & Co., Inc. to Sentra Securities Corporationleft Feb 24, 2003, registered Apr 22, 2002 (-308 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address