Peter Lewin Schwartz
CIMA®Professional Summary
Peter Lewin Schwartz, CIMA® is a registered financial advisor currently at ASPIRIANT, LLC located in Cincinnati, Ohio. Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Peter has worked at 3 firms and has passed the Series 63 and Series 65 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Biography
Peter has been serving high net-worth clients out of Cincinnati since 2000, and joined the Aspiriant family as a Director and Principal in the fall of 2010. Prior to joining Aspiriant, Peter worked at Deloitte in their investment advisory practice. He started with Deloitte in 2000 with an initial concentration on back-office client support. After a couple of years, Peter transitioned onto the research team as the Senior Mutual Fund Analyst for close to three...
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
linkedin.com/in/xxxxxx
Website
xxxxxxxxxx.xxx
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CAPITAL ADVISORY SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
22 years in the financial services industry
Current & Past Employments
Education
Purdue University
Financial Planning and Counseling, B.S.
Financial Planning and Counseling, B.S.
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Current Firm
ASPIRIANT, LLC | KOCHIS FITZ/QUINTILE LLC
Contact Information
Main Address
11100 Santa Monica Blvd Suite 500, Los Angeles, CA 90025Mailing Address
201 E Fifth Street Suite 1430, Cincinnati, OH 45202Phone Number
(310) 806-4000# of Employees
218SEC notice filing (38 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
12,173AUM (Assets Under Management)
$18,049,297,000Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/17/2025 | Cover Page | Report |
| 11/22/2024 | Cover Page | Report |
| 12/20/2023 | Cover Page | Report |
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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.
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CAPITAL ADVISORY SERVICES, LLC
Primary Firm SEC Registration
ASPIRIANT, LLC | KOCHIS FITZ/QUINTILE LLC
State Registrations and Notice Filings
(7/16/2012)
(3/12/2019)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CAPITAL ADVISORY SERVICES, LLC
CRS (Client Relationship Summary) - RIA
ASPIRIANT, LLC — Registered Investment Advisory firm
Version Date: Tue, Jun 25, 2024
Aspiriant, LLC is registered with the Securities and Exchange Commission as an investment advisor. Investment advisors and brokerage firms charge fees differently for the services they provide, and it is important that you understand the differences. Free and simple tools are available to research firms and financial professionals at investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisors and investing.
Investment Management Services — We charge a percentage of assets under management for investment management services for most clients. These fees are assessed quarterly, in arrears, based on the average daily value of your investments. You should understand that the greater the investment value in your account, the more you will pay in fees. This means we have an incentive for you to increase the investments under our management. If the value of your investments increases or decreases, our fees go up or down, aligning our interests. Our investment management fees can also be charged as a fixed fee in some client situations. We charge separate fees for additional services provided.
Wealth Planning Services — We charge a quarterly retainer, in advance, for agreed-upon wealth planning services. We also charge you hourly or fixed fees, in arrears, for services beyond the scope of those covered by the retainer.
Additional Miscellaneous Fees — In addition to our fees, you may incur additional fees and costs related to the investments in your account, such as asset custody fees, transaction and trading costs, surrender charges, and other product-related fees such as redemption fees. You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.
Questions to ask your Professional:
- Help me understand how these fees and costs might affect my investments? If I give you $1.5 million to invest, how much will go to fees and costs, and how much will be invested for me?
When we act as your investment advisor, we must act in your best interest and not put our interest ahead of yours. We are fiduciaries when we provide investment advice to you. We are a fee-only advisor, and therefore only make money from the fees you pay us. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here are some examples to help you understand what this means:
We are the investment advisor to the Aspiriant Mutual Funds (Fund), both open-end and interval funds (a version of a closed-end mutual fund). These Funds pay fees to us, creating a conflict because our revenue increases as the Funds grow. We mitigate that conflict by rebating your fees that exceed our costs of operating the Funds. Additionally, we value certain investments held in these funds.
We receive soft dollars from custodians and investment managers in the form of research tools and other services provided at no charge to us. This is a conflict of interest because it can cause us to favor a relationship with those companies.
Questions to ask your Professional:
- How might your conflicts of interest affect me, and how will you address them?
Our financial professionals receive a salary, an incentive bonus and profit sharing. The incentive pay for our professionals is primarily a result of business development generated by the exceptional client service we provide to our existing clients. The incentive bonus may include amounts based on new clients and/or assets added by existing clients. This creates a conflict of interest because our financial professionals have an incentive to increase the amount of investments we manage for you.
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