Derek M. Schwartz

ONE CAPITAL MANAGEMENT

Denver, CO 80206

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CRD#: 5544834

Professional summary

Derek Michael Schwartz, who also goes by Derek Schwartz, is a registered financial advisor currently at ONE CAPITAL MANAGEMENT, LLC located in Denver, Colorado.

Derek is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Derek has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derek Schwartz

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) - RIA

Click below to view Derek Michael Schwartz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

September 3, 2025 - Present

ONE CAPITAL MANAGEMENT, LLC

Office #1: 3300 E 1st Avenue Suite 480, Denver, CO 80206

RIA

CRD#: 114861

Denver, CO

Past

June 20, 2025 - September 17, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

June 22, 2021 - April 25, 2022

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Lone Tree, CO

Past

June 22, 2021 - April 25, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

January 19, 2017 - June 3, 2021

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

RIA

CRD#: 138638

BETHLEHEM, PA

Past

January 13, 2017 - December 31, 2017

CORNERSTONE INSTITUTIONAL INVESTORS, INC.

RIA

CRD#: 44664

BETHLEHEM, PA

Past

December 16, 2016 - June 3, 2021

M HOLDINGS SECURITIES, INC.

CRD#: 43285

BETHLEHEM, PA

Past

August 5, 2014 - December 6, 2016

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

WILMINGTON, DE

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".

ONE CAPITAL MANAGEMENT, LLC

FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA

Registered Investment Advisory firm - (11/5/2001 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/3/2025)

IAR

Colorado
(9/3/2025)

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: 1/13/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/2014

General Securities Representative Examination

Current Firm

ONE CAPITAL MANAGEMENT, LLC

FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC

CRD#: 114861 / SEC#: 801-60483

RIA

Registered Investment Advisory firm - (11/5/2001 Approved)

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Contact information

Main Address

3075 Townsgate Road Suite 350, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 409-8150

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OCM FORM ADV PART 2A NOVEMBER 14, 2025 (11/14/2025)

Regulatory assets under management

Total Number of Accounts	8,302
AUM (Assets Under Management)	$ 7,002,823,758

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/17/2025	Cover Page	Report
04/16/2024	Cover Page	Report
02/12/2023	Cover Page	Report

Red Flags

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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Advisor Monitoring

Firm Stability Insights

Derek M. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Michael Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

CORNERSTONE INSTITUTIONAL INVESTORS, INC.

M HOLDINGS SECURITIES, INC.

BLACKROCK INVESTMENTS, LLC

Primary Firm SEC Registration

ONE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2017

Series 63

Date: 9/11/2014

SIE

Date: 10/1/2018

Series 7

Date: 8/5/2014

Current Firm

ONE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ONE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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