David Howard Schwartz

Employer firm

Captrust CRD 175112

$1.24T regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-03-27
NY	RA	APPROVED	2021-02-09
TX	RA	APPROVED_RES	2019-06-13
NC	RA	APPROVED	2018-12-04

FL RA
APPROVED

Since 2025-03-27
NY RA
APPROVED

Since 2021-02-09
TX RA
APPROVED_RES

Since 2019-06-13
NC RA
APPROVED

Since 2018-12-04

Branch Locations

Boca Raton, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Capital Equities,Ltd.	Great Neck	NY	07/1983	12/2019
First Capital Consulting, Inc.	Great Neck	NY	01/1989	12/2019
Excelsior Opportunity Management	Great Neck	NY	01/2012	12/2019
Excelsior Opportunity Advisors	Great Neck	NY	01/2012	12/2019
Fc Equities, Ltd.	Great Neck	NY	01/2006	12/2019
Klein & Company	Great Neck	NY	01/2013	12/2019
Excelsior Management, Llc	Great Neck	NY	01/1989	12/2019
Tri-State Consumer Insurance	Great Neck	NY	01/1984	12/2016
Fce Group, Inc.	Great Neck	NY	07/1983	12/2019
Capfinancial Partners Llc (Captrust)	Raleigh	NC	10/2018	Present
Capfinancial Securities Llc	Raleigh	NC	10/2018	Present

07/1983 → 12/2019

First Capital Equities,Ltd.

Great Neck, NY
01/1989 → 12/2019

First Capital Consulting, Inc.

Great Neck, NY
01/2012 → 12/2019

Excelsior Opportunity Management

Great Neck, NY
01/2012 → 12/2019

Excelsior Opportunity Advisors

Great Neck, NY
01/2006 → 12/2019

Fc Equities, Ltd.

Great Neck, NY
01/2013 → 12/2019

Klein & Company

Great Neck, NY
01/1989 → 12/2019

Excelsior Management, Llc

Great Neck, NY
01/1984 → 12/2016

Tri-State Consumer Insurance

Great Neck, NY
07/1983 → 12/2019

Fce Group, Inc.

Great Neck, NY
10/2018 → Present

Capfinancial Partners Llc (Captrust)

Raleigh, NC
10/2018 → Present

Capfinancial Securities Llc

Raleigh, NC

Other Businesses

1. MFA Construction, Non-Investment related, Great Neck, NY, Vice President/Owner started 01/1989, MINIMAL TIME EXPENDED.

Designations

Certified Financial Planner

View on SEC IAPD