Derek Michael Schwartz
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Derek Schwartz
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
12 years in the financial services industry
Current & Past Employments
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Current Firm
FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
3075 Townsgate Road Suite 350, Westlake Village, CA 91361Phone Number
(805) 409-8150# of Employees
103SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
10,969AUM (Assets Under Management)
$8,525,961,547Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/05/2026 | Cover Page | Report |
| 12/12/2025 | Cover Page | Report |
| 01/17/2025 | Cover Page | Report |
| 04/16/2024 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
FUNDX, A DIVISION OF ONE CAPITAL MANAGEMENT, LLC | ONE CAPITAL MANAGEMENT, LLLP | ONE CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
(9/3/2025)
(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
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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CRS (Client Relationship Summary) - RIA
Click below to view Derek Michael Schwartz's CRS (Customer Relationship Summary).
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