David W. Schulz

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CRD#: 2435219

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Walter Schulz was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1980. David had worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 8, 2009 - April 1, 2016

CONVERGENCE INVESTMENT PARTNERS, LLC

RIA

CRD#: 148472

PALM BEACH GARDENS, FL

Past

January 27, 2005 - December 16, 2008

QIS ADVISORS LLC

RIA

CRD#: 133217

MEQUON, WI

Past

May 2, 1995 - October 1, 2002

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

MILWAUKEE, WI

Past

November 5, 1980 - October 22, 2004

M&I INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 109802

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONVERGENCE INVESTMENT PARTNERS, LLC

CONVERGENCE INVESTMENT PARTNERS, LLC | MARINER QUANTITATIVE SOLUTIONS, LLC

CRD#: 148472 / SEC#: 801-69707

RIA

Registered Investment Advisory firm - (10/28/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/28/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/10/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 5/1/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONVERGENCE INVESTMENT PARTNERS, LLC

CONVERGENCE INVESTMENT PARTNERS, LLC | MARINER QUANTITATIVE SOLUTIONS, LLC

CRD#: 148472 / SEC#: 801-69707

RIA

Registered Investment Advisory firm - (10/28/2008 Approved)

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Contact information

Main Address

3801 Pga Blvd. Suite 1001, Palm Beach Gardens, FL 33410-2757

Mailing Address

Phone number

(561) 494-8001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/10/2025)

ADV PART 2B - NEUBERG (3/10/2025)

ADV PART 2B - ABITZ (3/10/2025)

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 464,769,729

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David W. Schulz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONVERGENCE INVESTMENT PARTNERS, LLC

QIS ADVISORS LLC

M&I FINANCIAL ADVISORS, INC

M&I INVESTMENT MANAGEMENT CORP.

Primary Firm SEC Registration

CONVERGENCE INVESTMENT PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1995

Series 63

Date: 5/10/1995

Series 6

Date: 5/1/1995

Current Firm

CONVERGENCE INVESTMENT PARTNERS, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONVERGENCE INVESTMENT PARTNERS, LLC

TRUST BUT VERIFY

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