CW INVESTMENT ADVISERS, LLC
Adviser information for CW INVESTMENT ADVISERS, LLC last updated from Form ADV on March 28th, 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 | 33 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 16 | $580.0M |
| Non-Discretionary | 0 | $0 |
| Total | 16 | $580.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $300,000 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $502.1M |
| 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 | 11 | $77.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 69 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based feesASSET LEVEL FEES |
Identifiers
| SEC RIA File Number | 801-120163 |
|---|---|
| SEC ERA File Number | 801-120163 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 305926 |
| Legal Entity Identifier | None |
Principal Office
333 SOUTH HOPE STREETSUITE 2500
LOS ANGELES
CA
United States
Monday - Friday, 9:00 AM - 6:00 PM
Tel: 626-788-2305, Fax: 626-788-2306
Chief Compliance Officer
ANDREW KINGSTON
GENERAL COUNSEL
333 S HOPE ST, SUITE 2500
LOS ANGELES
CA
United States
Tel:
626-788-3887
Fax:
626-788-2306
A**************@*****************M
(Full email address available in API data)
Regulatory Contact
JOANNA LEE
VICE PRESIDENT - LEGAL
333 S HOPE ST, SUITE 2500
LOS ANGELES
CA
United States
Tel:
626-788-3883
Fax:
626-788-2306
J*********@*****************M
(Full email address available in API data)
Industry Affiliates
| 5TH AVE GATEWAY ASSET SERVICES, LLC | Sponsor, GP, manager of pooled investment vehicles |
| BOSTON SEAPORT M1&2 ASSET SERVICES, LLC | Sponsor, GP, manager of pooled investment vehicles |
| COTTONWOOD GROUP | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| CW CAPITAL MANAGEMENT, LLC | Sponsor or syndicator of limited partnerships |
| CW PORTLAND ASSET SERVICES, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CW PROPRIETARY INVESTMENT MANAGEMENT, LLC | Sponsor or syndicator of limited partnerships |
| CWRE FOUNDERS FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CWRE SPECIAL SITUATIONS FUND GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| CWRE SPECIAL SITUATIONS FUND GP, LTD | Sponsor, GP, manager of pooled investment vehicles |
| KINGSTON PETERSEN PLLC | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| COTTONWOOD GROUP HOLDING, LLC | Domestic Entity | – | MEMBER | 02/2019 | > 75% |
| SHING, HON KIT | Individual | – | CEO / MANAGER | 02/2019 | < 5% |
| SHING 2015 FAMILY TRUST | Domestic Entity | COTTONWOOD GROUP HOLDING, LLC | MEMBER | 02/2019 | > 75% |
| SHING, HON KIT | Individual | SHING 2015 FAMILY TRUST | TRUSTEE | 11/2015 | |
| Kingston, Andrew, Brownell | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2022 | < 5% |
| Green, Mark, David | Individual | – | CHIEF INVESTMENT OFFICER | 05/2022 | < 5% |