Dylan Schwaber

BETTERMENT

NEW YORK, NY 10001

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CRD#: 6517146

Professional summary

Dylan Schwaber, who also goes by Dylan Michael Schwaber, is a registered financial advisor currently at BETTERMENT located in New York, New York.

Dylan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Dylan has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dylan Michael Schwaber

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 Dylan Schwaber'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

November 19, 2021 - Present

BETTERMENT

Office #1: 450 West 33rd Street Floor 11, New York, NY 10001

RIA

CRD#: 149117

NEW YORK, NY

Past

October 20, 2017 - September 2, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

MELVILLE, NY

Past

September 26, 2017 - September 2, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MELVILLE, NY

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".

BETTERMENT

BETTERMENT | BETTERMENT LLC (NEW LEGAL NAME) | BETTERMENT LLC | BETTERMENT ADIVSORS LLC

CRD#: 149117 / SEC#: 801-70171

RIA

Registered Investment Advisory firm - (5/21/2009 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

New York
(11/19/2021)

IAR

Texas
(11/19/2021)

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 66

Date: 10/17/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/2017

General Securities Representative Examination

Current Firm

BETTERMENT

BETTERMENT | BETTERMENT LLC (NEW LEGAL NAME) | BETTERMENT LLC | BETTERMENT ADIVSORS LLC

CRD#: 149117 / SEC#: 801-70171

RIA

Registered Investment Advisory firm - (5/21/2009 Approved)

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Contact information

Main Address

450 West 33rd Street Floor 11, New York, NY 10001

Mailing Address

Phone number

(212) 228-1328

Established

Firm type

Fiscal year end

# of Employees

631

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BETTERMENT LLC BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	1,200,673
AUM (Assets Under Management)	$ 56,368,684,129

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/23/2025	Cover Page	Report
10/18/2024	Cover Page	Report
12/08/2023	Cover Page	Report
04/26/2023	Cover Page	Report
01/06/2023	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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Dylan Schwaber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dylan Schwaber's CRS (Customer Relationship Summary).

Certified licenses

Experience

BETTERMENT

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

BETTERMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2017

SIE

Date: 10/1/2018

Series 7

Date: 9/26/2017

Current Firm

BETTERMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BETTERMENT

TRUST BUT VERIFY

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