CW INSTITUTIONAL, LLC
Adviser information for CW INSTITUTIONAL, 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 | 10 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 2 | $29.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $29.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $29.4M |
| 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 | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-120966 |
|---|---|
| SEC ERA File Number | 801-120966 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 313549 |
| Legal Entity Identifier | None |
Principal Office
9130 GALLERIA COURT3RD FLOOR
NAPLES
FL
United States
Monday - Friday, 8:30 AM - 5:00 PM
Tel: 239-434-7434, Fax: 239-434-7494
Chief Compliance Officer
KIMBERLY KEY
9130 GALLERIA COURT
THIRD FLOOR
NAPLES
FL
United States
Tel:
239-434-7434
K***********@************************M
(Full email address available in API data)
Regulatory Contact
BLAINE FERGUSON
MANAGING MEMBER
9130 GALLERIA COURT
THIRD FLOOR
NAPLES
FL
United States
Tel:
2394347434
B*****@************************M
(Full email address available in API data)
Industry Affiliates
| 5TH AVENUE BROKERAGE, LLC | Insurance company or agency |
| CALUSA RIVER CAPITAL LLC | Insurance company or agency |
| CAPITAL WEALTH ADVISORS, INC. | Insurance company or agency |
| CW NATURAL RESOURCES, LP | Sponsor, GP, manager of pooled investment vehicles |
| CW SPECIAL OPPORTUNITIES FUND, LP | Sponsor, GP, manager of pooled investment vehicles |
| CWA ASSET MANAGEMENT GROUP | Other investment adviser, including financial planners |
| CWA RISK MANAGEMENT | Insurance company or agency |
| LIBERTY WOLFE ENTERPRISES, LLC | Insurance company or agency |
| LWE CONSULTING, LLC | Insurance company or agency |
| LWPB INSURANCE, LLC | Insurance company or agency |
| SENTRY INSURANCE ADVISORS, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CW NATURAL RESOURCES, LP | Hedge Fund | $11.1M | $0.0M | 22 |
| CW SPECIAL OPPORTUNITIES FUND, LP | Hedge Fund | $18.3M | $0.5M | 37 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KEY, KIMBERLY, RUTH | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |
| FERGUSON, BLAINE, MICHAEL | Individual | – | MANAGING MEMBER, CHIEF OPERATING OFFICER | 03/2021 | < 5% |
| BEYNON, WILLIAM, NICK | Individual | – | MANAGING MEMBER | 03/2021 | < 5% |
| JOHNSON, LEWIS, MCKAY | Individual | – | MEMBER | 03/2021 | < 5% |
| ERNDL, KEVIN, M | Individual | – | MEMBER | 03/2021 | 10-25% |
| CWA HOLDINGS, LLC | Domestic Entity | – | OWNER | 09/2021 | 50-75% |
| ABRAHAM, ZEV, WARREN | Individual | – | MEMBER | 09/2021 | 5-10% |
| MOGLIA, JOSEPH, HUGH | Individual | CWA HOLDINGS, LLC | MEMBER | 08/2021 | 25-50% |
| BEYNON, WILLIAM, NICK | Individual | CWA HOLDINGS, LLC | MEMBER | 08/2021 | 25-50% |
| FERGUSON, BLAINE, MICHAEL | Individual | CWA HOLDINGS, LLC | MEMBER | 08/2021 | 25-50% |
| JOHNSON, LEWIS, MCKAY | Individual | CWA HOLDINGS, LLC | MEMBER | 08/2021 | 25-50% |
| KNEPFLER, RICHARD, KARL | Individual | – | CHIEF FINANCIAL OFFICER | 07/2015 | < 5% |