Mr. Schwartz serves as a C.P.A. in our Advanced Planning & Family Office Practice Group. He focuses in finance, operations and administration matters, as well as in compliance and operational due diligence issues of family offices, investment management firms, hedge funds, and organizations engaging in a variety of investment activities.
His broad experience ranges from implementing simple systems and control procedures for small family offices, preparing information memoranda issued in connection with the private placement of securities, forming regulated entities to operate under broker-dealer, investment adviser, commodity pool operator/trading advisor or foreign investment company regulations, and creating and administering an investor relations function to managing the process of procuring, designing and building-out office space for technology intensive operations, and designing and implementing sophisticated financial and operational infrastructure for organizations that trade complex financial instruments and are subject to multiple regulatory schemes. He has also developed a series of integrated risk management, performance measurement, operational and compliance tools that are used to manage and control an assortment of investment and business activities.
Over his 30 plus year career, Mr. Schwartz has served in a variety of senior management positions with family offices, investment management firms, hedge funds and proprietary trading firms (including startup ventures). He has also served in various managerial and supervisory roles with Coopers & Lybrand (now PricewaterhouseCoopers) where he focused on serving clients in the investment management and securities/futures industries. He also authored and taught the commodities section of the securities/futures industry training program used in training entry-level accountants, lectured on financial reporting issues of commodity pools at industry conferences and was a member of the Broker-Dealer committee of the Illinois CPA Society.
Mr. Schwartz earned his Bachelor of Science in Accountancy Degree from the University of Illinois at Chicago, is a Certified Public Accountant and has served as an NASD Principal and Financial and Operations Principal. He is currently a member of the American Institute of Certified Public Accountants and the Illinois CPA Society.