Investment Philosophy and Wealth Management Mission

Working together with the client, Gary J. Swartz, Jr. formulates an investment policy statement, builds a comprehensive asset allocation plan to match risk parameters, and allocates funds within each asset class to specific investment management styles.

Our Philosophy

Gary’s philosophy is guided by his mission is to help his clients manage their financial affairs by working with them to make sound investment planning decisions to help build, manage and preserve their financial assets by:

  • Giving advice within the context of the client’s entire holdings, not just with the knowledge of an isolated investment account
  • Engaging in regular client communication through quarterly meetings and updates, full annual reviews, performance reports and other meetings as needed
  • Using a customized approach that considers suitability for the client’s unique situation, risk analysis and goals to develop a cohesive Investment Policy Statement that serves as the basis for all investment selections

Our team's investment philosophy is grounded in a time-tested approach to wealth management delivered within the context of a client’s total financial picture.

Investment and Insurance Products are:

  • Not Insured by the FDIC or Any Federal Government Agency
  • Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate
  • Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested

This information is intended for use only by residents of (AR, AZ, CA, CO, CT, DC, DE, FL, GA, IL, MA, MD, MN, MO, MS, MT, NC, NH, NJ, NV, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA, WI). Securities-related services may not be provided to individuals residing in any state not listed above.

For parties residing outside of the U.S., this information is: (i) provided for informational purposes only, (ii) not and should not be construed in any manner as an offer to participate in any investment or to buy or sell any securities or related financial instruments, and (iii) not and should not be construed in any manner as a public offering of any financial services, securities or related financial instruments. Products and services listed may not be available, or may have restrictions, depending on client country of residence.

Investment products and services are offered through Wells Fargo Advisors. Wells Fargo Advisors is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.

Insurance products are offered through nonbank insurance agency affiliates of Wells Fargo & Company and are underwritten by unaffiliated insurance companies.

A note about Social Media: Opinions, comments and actions taken on Social Media are those of the third party and do not necessarily reflect the views of the creator of this profile or of the firm. Social Media is intended for U.S. residents only and subject to the following terms: wellsfargoadvisors.com/social.

© 2022 Wells Fargo Clearing Services, LLC. All rights reserved.

FINRA’s BrokerCheck Obtain more information about our firm and its financial professionals

FINRA’s BrokerCheck Obtain more information about our firm and its financial professionalsX