FWG INVESTMENT MANAGEMENT
FWG INVESTMENT MANAGEMENT, LLC Legal Name
Adviser information for FWG INVESTMENT MANAGEMENT last updated from Form ADV on March 22nd, 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 | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $11.7M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $11.7M |
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 | 1 | $11.7M |
| 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 pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-126553 |
|---|---|
| SEC ERA File Number | 801-126553 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322394 |
| Legal Entity Identifier | None |
Principal Office
1099 W MORSE BLVDWINTER PARK
FL
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 407-999-8998, Fax: None
Chief Compliance Officer
JOHN E. LEDFORD
MANAGING MEMBER
1099 W MORSE BLVD
WINTER PARK
FL
United States
Tel:
407-999-8998
I***@**********************M
(Full email address available in API data)
Industry Affiliates
| FORTRESS WEALTH GROUP, LLC | Other investment adviser, including financial plannersInsurance company or agency |
| FWG CAPITAL, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| FWG CAPITAL FUND LP | Private Equity Fund | $11.7M | $0.1M | 50 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEDFORD, JOHN, EDWARD | Individual | – | MANAGING MEMBER, CCO | 06/2022 | < 5% |
| LEDFORD HOLDINGS, LLC | Domestic Entity | – | MEMBER | 08/2022 | > 75% |
| CAPITAL ROCK LLC | Domestic Entity | – | MEMBER | 08/2022 | 10-25% |
| LEDFORD, JOHN, EDWARD | Individual | LEDFORD HOLDINGS, LLC | MEMBER | 08/2022 | > 75% |
| LINQUIST, COLE, ROBERT | Individual | CAPITAL ROCK LLC | MEMBER | 08/2022 | > 75% |