1WS CAPITAL ADVISORS, LLC
Adviser information for 1WS CAPITAL ADVISORS, LLC last updated from Form ADV on February 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 97 |
|---|---|
| Investment Advisory/Research | 48 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $266.0M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $266.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $266.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-114286 |
|---|---|
| SEC ERA File Number | 801-114286 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298723 |
| Legal Entity Identifier | 549300V30248CC1IH506 |
Principal Office
299 PARK AVENUE25TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00 AM - 6:00 PM
Tel: 212-957-2500, Fax: None
Websites
Chief Compliance Officer
KURT LOCHER
CHIEF OPERATING OFFICER
299 PARK AVENUE
25TH FLOOR
NEW YORK
NY
United States
Tel:
212-957-2502
K******@********M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER ROBINSON EPES
CHIEF LEGAL OFFICER
299 PARK AVENUE
25TH FLOOR
NEW YORK
NY
United States
Tel:
212-957-2520
C****@********M
(Full email address available in API data)
Industry Affiliates
| ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| ONE WILLIAM STREET CAPITAL PARTNERS GP, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| OWS CAPITAL PARTNERS GP IV , LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| OWS CAPITAL PARTNERS GP V, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| OWS CAPITAL PARTNERS GP VI , LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| OWS CAPITAL PARTNERS GP VIII, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | Domestic Entity | – | DIRECT OWNER | 08/2018 | > 75% |
| SHERR, DAVID, NEAL | Individual | – | CHIEF EXECUTIVE OFFICER | 08/2018 | < 5% |
| LOCHER, KURT, ANTHONY | Individual | – | CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | 08/2018 | < 5% |
| EPES, CHRISTOPHER, ROBINSON | Individual | – | CHIEF LEGAL OFFICER | 08/2018 | < 5% |
| SHERR, DAVID, NEAL | Individual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | LIMITED PARTNER/CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | 04/2008 | 50-75% |
| ONE WILLIAM STREET CAPITAL HOLDINGS, LLC | Domestic Entity | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | GENERAL PARTNER | 04/2008 | |
| SHERR, DAVID, NEAL | Individual | ONE WILLIAM STREET CAPITAL HOLDINGS, LLC | MANAGING MEMBER/OWNER | 04/2008 | > 75% |
| DOLAN, STEPHANIE, ELIZABETH | Individual | – | CHIEF FINANCIAL OFFICER | 08/2018 | < 5% |