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Karl Arthur Schwartz

Karl Arthur Schwartz

CFP®
TEAM HEWINS
BOCA RATON, FL
·CRD# 5643662·18 years registered

Professional Summary

Karl Arthur Schwartz, CFP® is a registered financial advisor currently at TEAM HEWINS, LLC located in Boca Raton, Florida. Karl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Karl has worked at 4 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Fiduciary Standard

Fee Structure

$500K–$1M

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Who I Serve

Business Owners & Entrepreneurs
Corporate Executives
High Net Worth Individuals & Families

Services Offered

  • Investment Management
  • Education Funding
  • Estate & Legacy Planning
  • Risk Management & Insurance
  • Cashflow & Budgeting
  • Retirement Planning
  • Tax Planning
  • Financial Planning
  • Business Services

Specializations

Divorce Planning

Biography

I discovered a passion for financial planning at an early age. As far back as high school, I was working the numbers to see what would be needed to build a retirement nest egg. I graduated from the University of Wisconsin, La Crosse, with a B.S. in Accounting, and since then, I've thrived on easing financial stress for my clients. We will take one step at a time, prioritize your issues, and take care of...

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Direct

(xxx) xxx-xxxx

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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.

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

CFP®
Certified Financial PlannerSince 2010

Years of Experience

18 years registered in the securities industry

Current & Past Employments

Current

TEAM HEWINS, LLCCurrent·CRD# 291194
RIA
2255 Glades Road Suite 412e, Boca Raton, FL 33431
May 29, 2018 - Present

Past

WIPFLI FINANCIAL ADVISORS, LLCPast·CRD# 109983
RIA
Miami, FL
November 13, 2012 - June 1, 2018
ELKO FINANCIAL ADVISORSPast·CRD# 119394
RIA
Media, PA
December 8, 2014 - December 31, 2015
WIPFLI HEWINS INVESTMENT ADVISORS LLCPast·CRD# 109972
RIA
San Mateo, CA
February 11, 2009 - July 3, 2013

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Current Firm

TEAM HEWINS, LLC
TEAM HEWINS, LLC

HEWINS, LLC | TEAM HEWINS, LLC | POST HEWINS, LLC

CRD#: 291194 / SEC#: 801-112939
RIA
Registered Investment Advisory firm - SEC (4/20/2018 Approved)

Contact Information

Main Address

950 Tower Lane Suite 1050, Foster City, CA 94404

Phone Number

(650) 620-3040

# of Employees

29

SEC notice filing (12 States and Territories)

Registered to provide investment advisory services in 12 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TEAM HEWINS FORM ADV PART 2A BROCHURE (4/29/2026)

Regulatory Assets Under Management

Total Number of Accounts

2,260

AUM (Assets Under Management)

$3,966,070,638

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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

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".
TEAM HEWINS, LLC
TEAM HEWINS, LLC

HEWINS, LLC | TEAM HEWINS, LLC | POST HEWINS, LLC

CRD#: 291194 / SEC#: 801-112939
RIA
Registered Investment Advisory firm - SEC (4/20/2018 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.
IAR
California
(5/29/2018)
IAR
Florida
(6/4/2018)

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.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 2008About the Series 65 exam

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CRS (Client Relationship Summary) - RIA

Click below to view Karl Arthur Schwartz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Services Offered by Karl

  • Investment Management
  • Education Funding
  • Estate & Legacy Planning
  • Risk Management & Insurance
  • Cashflow & Budgeting
  • Retirement Planning
  • Tax Planning
  • Financial Planning
  • Business Services

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