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
Harold Alan Schwartz
Feed of 09/15/2026
Also filed as Harold A Schwartz
At current firm
4 y
since Jan 4, 2022
In the industry
43 y
since Aug 12, 1983 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
14
current, as an IAR
Firms today
2
current registrations
Exams
S66, 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
- Compass Financial Management LLC independent RIA currentsince Jan 1, 2025 · Lutz, Fl
- Dmk Advisor Group, Inc. independent RIA currentsince Jan 4, 2022 · Lutz, Fl
- New Century Financial Group, LLC formerJul 6, 2015 to Apr 5, 2018 · Littleton, Co
- Osaic Wealth, Inc. BD affiliatedJun 30, 2015 to Feb 22, 2019 · Littleton, Co
- Tlg Advisors, Inc. BD affiliatedMar 9, 2006 to Jul 1, 2015 · Littleton, Co
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to New Century Financial Group, LLCleft Feb 22, 2019, registered Jul 6, 2015 (-1327 days) · Other
- New Century Financial Group, LLC to Dmk Advisor Group, Inc.left Apr 5, 2018, registered Jan 4, 2022 (1370 days) · RIA to RIA
- Tlg Advisors, Inc. to Osaic Wealth, Inc.left Jul 1, 2015, registered Jun 30, 2015 (-1 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address