SWS CAPITAL MANAGEMENT, LLC
Adviser information for SWS CAPITAL MANAGEMENT, 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 | 9 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 5 |
| 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 | 7 | $459.9M |
| Non-Discretionary | 1 | $38.1M |
| Total | 8 | $498.0M |
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 | $242.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $229.1M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $26.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-61480 |
|---|---|
| SEC ERA File Number | 801-61480 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 119043 |
| Legal Entity Identifier | 254900777WBOK14YGL27 |
Principal Office
100 WALL STREET18TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00AM-5:00PM ET
Tel: 212-461-6500, Fax: 212-461-6034
Chief Compliance Officer
DIANNE CALABRISOTTO
100 WALL STREET
18TH FLOOR
NEW YORK
NY
United States
Tel:
212-461-6017
Fax:
212-461-6034
D************@***********************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER WILLIAMS
CEO
100 WALL STREET
18 FLOOR
NEW YORK
NY
United States
Tel:
212-461-6500
Fax:
212-461-6034
C********@***********************M
(Full email address available in API data)
Industry Affiliates
| CLEAR VISION IMPACT FUND I, G.P., LLC | Sponsor, GP, manager of pooled investment vehicles |
| SIEBERT WILLIAMS SHANK & CO., LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisor |
| SOCIAL EQUITY IMPACT VENTURES GP I, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CLEAR VISION IMPACT FUND, LP | DEBT UNDERWRITER / LOAN ORIGINATION | $96.7M | $0.0M | 10 |
| NEW YORK SOCIAL EQUITY CANNABIS INVESTMENT FUND, L.P. | SUBLEASE FINANCING | $99.8M | $0.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WILLIAMS, CHRISTOPHER, JUDSON | Individual | – | CHAIRMAN & CEO | 01/2002 | < 5% |
| CALABRISOTTO, DIANNE, NMN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2013 | < 5% |
| SHANK-WERDLOW, SUZANNE, FRANCES | Individual | SHANK CAPITAL GROUP, LLC | SUPER MAJORITY MEMBER | 03/2021 | > 75% |
| SHANK WILLIAMS CISNEROS, LLC | Domestic Entity | – | MEMBER | 10/2020 | > 75% |
| WILLIAMS, CHRISTOPHER, JUDSON | Individual | SHANK WILLIAMS CISNEROS, LLC | CHAIRMAN | 11/2019 | |
| CISNEROS, HENRY, GABRIEL | Individual | SHANK WILLIAMS CISNEROS, LLC | VICE-CHAIRMAN | 11/2019 | |
| SHANK CAPITAL GROUP, LLC | Domestic Entity | SHANK WILLIAMS CISNEROS, LLC | MEMBER | 03/2021 | 25-50% |