John Schwartz

Compliance Officer at ROYCE GLOBAL TRUST, INC.

55 year

Miscellaneous

Finance

Consumer Services

Profile

Mr. John P.
Schwartz is a Chief Compliance Officer at Royce Small Cap Trust, a Chief Compliance Officer at Royce Global Trust Inc., a Chief Compliance Officer at The Royce Fund and a Chief Compliance Officer at Royce Micro Cap Trust.
Mr. Schwartz was previously employed as a Head of Sales & Marketing by Redwood Investments LLC, a Senior Managing Director by State Street Global Markets LLC, and a Vice President by Goldman Sachs & Co. LLC.
He received his undergraduate degree from Georgetown University and an MBA from Harvard University.

John Schwartz active positions

Companies	Position	Start
ROYCE GLOBAL TRUST, INC.	Compliance Officer	2022-04-30
ROYCE SMALL-CAP TRUST, INC.	Compliance Officer	2023-04-30
ROYCE MICRO-CAP TRUST, INC.	Compliance Officer	2021-12-31
The Royce Fund The Royce Fund Investment Trusts/Mutual FundsMiscellaneous Acts as Open-End Investment Fund/Unit Trust	Compliance Officer	2022-03-31

All active positions of John Schwartz

Former positions of John Schwartz

Companies	Position	End
State Street Global Markets LLC State Street Global Markets LLC Investment Banks/BrokersFinance Provides brokerage services	Corporate Officer/Principal	2009-12-30
Goldman Sachs & Co. LLC Goldman Sachs & Co. LLC Investment Banks/BrokersFinance Provides brokerage services	Corporate Officer/Principal	-
Redwood Investments LLC Redwood Investments LLC Investment ManagersFinance Redwood’s investment strategies invest in a range of small to large-cap securities encompassing growth and value securities. The firm’s focus is on the successful implementation of their investment process which includes a rigorous fundamental, bottom-up stock selection process that integrates traditional fundamental analysis with proprietary quantitative screening tools. The investment strategy for a specific client is based upon a client’s objectives and risk profile.	Sales & Marketing	-

See the detail of John Schwartz's experience

Training of John Schwartz

Experiences
Positions held

Active

Inactive

Listed companies

Private companies

See the detail of John Schwartz's experience

Connections

1st degree connections

1st degree companies

Male

Female

Members of the board

Executives

See the personal network

Linked companies

Private companies	9
The Royce Fund The Royce Fund Investment Trusts/Mutual FundsMiscellaneous Acts as Open-End Investment Fund/Unit Trust	Miscellaneous
State Street Global Markets LLC State Street Global Markets LLC Investment Banks/BrokersFinance Provides brokerage services	Finance
Redwood Investments LLC Redwood Investments LLC Investment ManagersFinance Redwood’s investment strategies invest in a range of small to large-cap securities encompassing growth and value securities. The firm’s focus is on the successful implementation of their investment process which includes a rigorous fundamental, bottom-up stock selection process that integrates traditional fundamental analysis with proprietary quantitative screening tools. The investment strategy for a specific client is based upon a client’s objectives and risk profile.	Finance
Royce Small Cap Trust Royce Small Cap Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust	Miscellaneous
Royce Micro Cap Trust Royce Micro Cap Trust Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust	Miscellaneous
Royce Global Trust Inc. Royce Global Trust Inc. Investment Trusts/Mutual FundsMiscellaneous Acts as Closed-End Investment Fund/Investment Trust	Miscellaneous
Harvard University Harvard University Other Consumer ServicesConsumer Services Functions as a College/University	Consumer Services
Goldman Sachs & Co. LLC Goldman Sachs & Co. LLC Investment Banks/BrokersFinance Provides brokerage services	Finance
Georgetown University Georgetown University Other Consumer ServicesConsumer Services Functions as a College/University	Consumer Services