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
Derek Michael Schwartz
Certified Financial Planner · Chartered Financial Analyst
Feed of 09/15/2026
Also filed as Derek Michael Schwartz
At current firm
1 y
since Sep 3, 2025
In the industry
13 y
since Sep 1, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- One Capital Management, LLC independent RIA currentsince Sep 3, 2025 · Westlake Village, Ca
- Advice And Planning Services BD affiliatedJun 20, 2025 to Sep 17, 2025 · Denver, Co
- Schwab Wealth Advisory, Inc. no RAUMJun 22, 2021 to Apr 25, 2022 · Lone Tree, Co
- Cornerstone Advisors Asset Management, LLC otherJan 19, 2017 to Jun 3, 2021 · Bethlehem, Pa
- Cornerstone Institutional Investors, LLC formerJan 13, 2017 to Dec 31, 2017 · Bethlehem, Pa
Moves
a registration end followed by a registration begin elsewhere
- Advice And Planning Services to One Capital Management, LLCleft Sep 17, 2025, registered Sep 3, 2025 (-14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Schwab Wealth Advisory, Inc. to Advice And Planning Servicesleft Apr 25, 2022, registered Jun 20, 2025 (1152 days) · Other
- Cornerstone Advisors Asset Management, LLC to Schwab Wealth Advisory, Inc.left Jun 3, 2021, registered Jun 22, 2021 (19 days) · Other
- Cornerstone Institutional Investors, LLC to Cornerstone Advisors Asset Management, LLCleft Dec 31, 2017, registered Jan 19, 2017 (-346 days) · channel change inside one enterprise, not a move · moved with a team
Signals
- Derek Michael Schwartz left Advice And Planning Services for One Capital Management, Llc (registered 2025-09-03)Sep 17, 2025 · Advisor changed firm · fact
- Derek Michael Schwartz left Schwab Wealth Advisory, Inc. for Advice And Planning Services (registered 2025-06-20)Apr 25, 2022 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address