RSW INVESTMENTS
RSW INVESTMENTS HOLDINGS, LLC Legal Name
Adviser information for RSW INVESTMENTS last updated from Form ADV on March 5th, 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 | 10 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,715 | $2.3B |
| Non-Discretionary | 0 | $0 |
| Total | 1,715 | $2.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 464 | $234.6M |
| HNW Individuals | 990 | $2.1B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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 individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 2.1B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| ACCESS PROGRAM | UBS FINANCIAL SERVICES INC. |
| CONSULTING & EVALUATION SERVICES | MORGAN STANLEY |
| PERSONALIZED UMA PROGRAM | WELLS FARGO CLEARING SERVICES, LLC |
| FIDUCIARY SERVICES PROGRAM | CITIGROUP GLOBAL MARKETS INC. |
| SEPARATELY MANAGED ACCOUNT PROGRAM | WEDBUSH SECURITIES INC. |
| STRATEGIC WEALTH PORTFOLIO PROGRAM | UBS FINANCIAL SERVICES INC. |
| INVESTMENT ADVISORY PROGRAM | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| DYNAMIC ALLOCATION PORTFOLIOS / UMA PROGRAM | CITIGROUP GLOBAL MARKETS INC. |
| MAC ELIGIBLE | UBS FINANCIAL SERVICES INC. |
| INVESTMENT MANAGEMENT SERVICE | MORGAN STANLEY |
| MANAGED ACCOUNT PROGRAM | RBC CAPITAL MARKETS, LLC |
| MANAGED ACCOUNT SERVICE PROGRAM | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| OUTSIDE MANAGED ACCOUNT PLATFORM | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC |
| PRIVATE ADVISOR NETWORK | WELLS FARGO CLEARING SERVICES, LLC |
| SELECT UMA | MORGAN STANLEY |
| MAC RESEARCHED | UBS FINANCIAL SERVICES INC. |
| VISTA SEPARATE ACCOUNT | AMERIPRISE FINANCIAL SERVICES, LLC |
Identifiers
| SEC RIA File Number | 801-115302 |
|---|---|
| SEC ERA File Number | 801-115302 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 302023 |
| Legal Entity Identifier | 254900MPRB423JQ0GZ94 |
Principal Office
47 MAPLE STREETSUITE 304
SUMMIT
NJ
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 908-273-4311, Fax: 908-934-9211
Chief Compliance Officer
CHRISTINA ELAINE SEARS
220 E. LAS COLINAS BLVD.
SUITE 1200
IRVING
TX
United States
Tel:
817-391-6110
C*****@*****************M
(Full email address available in API data)
Regulatory Contact
REGINA CASTRO
220 E. LAS COLINAS BLVD.
SUITE 1200
IRVING
TX
United States
Tel:
817-391-6115
R******@*****************M
(Full email address available in API data)
Industry Affiliates
| AMERICAN BEACON ADVISORS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| AMERICAN PRIVATE EQUITY MANAGEMENT | Sponsor, GP, manager of pooled investment vehicles |
| NATIONAL INVESTMENT SERVICES OF AMERICA, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| RESOLUTE INVESTMENT DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SHAPIRO CAPITAL MANAGEMENT LLC | Other investment adviser, including financial planners |
| SSI INVESTMENT MANAGEMENT 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 |
|---|---|---|---|---|---|
| WAAS, ROBERT, STEVEN | Individual | – | CEO/CIO/DIRECTOR | 01/2005 | 25-50% |
| WERNER, MATTHEW, TAYLOR | Individual | – | MEMBER/DIRECTOR | 02/2009 | 5-10% |
| RESOLUTE INVESTMENT MANAGERS, INC. | Domestic Entity | – | SHAREHOLDER | 04/2019 | 50-75% |
| RINGDAHL, JEFFREY, KARL | Individual | – | DIRECTOR | 04/2019 | < 5% |
| RESOLUTE ACQUISITION, INC. | Domestic Entity | RESOLUTE INVESTMENT MANAGERS, INC. | SHAREHOLDER | 04/2015 | > 75% |
| RESOLUTE TOPCO, INC. | Domestic Entity | RESOLUTE ACQUISITION, INC. | SHAREHOLDER | 04/2015 | > 75% |
| SEARS, CHRISTINA, ELAINE | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2019 | < 5% |
| Harris, Rebecca, Lynn | Individual | – | DIRECTOR | 04/2022 | < 5% |