Hedge Fund Database

CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC

Adviser information for CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC last updated from Form ADV on February 9th, 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 Texas, United States

Employees

Total Number of Employees 5
Investment Advisory/Research 3
Registered Broker-Dealer Representatives 3
Registered State Investment Advisers 4
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 0 $0
Non-Discretionary 370 $277.8M
Total 370 $277.8M

Clients

Type Number RAUM
Individuals 92 $27.0M
HNW Individuals 55 $250.8M
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 businessesSelection of other advisers (including private fund managers)
Compensation % of AUMPerformance-based fees

Identifiers

SEC RIA File Number 801-65121
SEC ERA File Number 801-65121
SEC CIK Numbers 1797334
SEC CRD Numbers 138524
Legal Entity Identifier None

Principal Office

4965 PRESTON PARK BLVD
STE 100
PLANO
TX
United States
Monday - Friday, 8:00 TO 4:30
Tel: 972-865-2225, Fax: 972-386-9285

Websites

www.facebook.com/chapwood/ www.edbutowsky.com/ www.linkedin.com/company/chapwood-capital-investment-management www.chapwoodinvestments.com

Chief Compliance Officer

ED BUTOWSKY
4965 PRESTON PARK BLVD
SUITE 100
PLANO
TX
United States
Tel: (972) 865-2225
(Full email address available in API data)

Regulatory Contact

CYNTHIA KING
COUNSEL
4809 E. THISTLE LANDING, SUITE 101
PHOENIX
AZ
United States
Tel: 480-285-1765
Fax: 480-460-0104
(Full email address available in API data)

Industry Affiliates

CHAPWOOD SECURITIES, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
BUTOWSKY, EDWARD, WAYNE Individual – MANAGING MEMBER AND CCO 07/2005 > 75%
SAMS, KIM, MEYERS Individual – MANAGING MEMBER 08/2014 25-50%

No. Employees, Historic

105020192020202120222023202420255 on 5/1/20195 on 10/2/20194 on 3/9/20204 on 5/12/20204 on 6/16/20204 on 8/10/20204 on 9/2/20204 on 10/1/20204 on 10/26/20204 on 11/5/20204 on 1/15/20214 on 2/2/20214 on 3/3/20224 on 9/7/20224 on 10/27/20224 on 2/14/20234 on 3/22/20234 on 11/2/20235 on 2/9/2024

RAUM, Historic

500M250M02019202020212022202320242025191619462 on 5/1/2019191619462 on 10/2/2019204522154 on 3/9/2020204522154 on 5/12/2020204522154 on 6/16/2020204522154 on 8/10/2020204522154 on 9/2/2020204522154 on 10/1/2020204522154 on 10/26/2020204522154 on 11/5/2020204522154 on 1/15/2021423703919 on 2/2/2021403658957 on 3/3/2022403658957 on 9/7/2022403658957 on 10/27/2022253676974 on 2/14/2023253676974 on 3/22/2023253676974 on 11/2/2023277824194 on 2/9/2024

No. Clients, Historic

20010002019202020212022202320242025114 on 5/1/2019114 on 10/2/2019116 on 3/9/2020116 on 5/12/2020116 on 6/16/2020116 on 8/10/2020116 on 9/2/2020116 on 10/1/2020116 on 10/26/2020116 on 11/5/2020116 on 1/15/2021114 on 2/2/2021127 on 3/3/2022127 on 9/7/2022127 on 10/27/2022130 on 2/14/2023130 on 3/22/2023130 on 11/2/2023147 on 2/9/2024

Holdings

From latest 13F, filed January 21st, 2020 for period ending December 31st, 2019
Name Class Value $USD # Shares Private Fund
ABERDEEN ASIA PACIFIC INCOM COM 343 81K –
ABERDEEN GLOBAL INCOME FD IN COM 301 37K –
ACCENTURE PLC IRELAND SHS CLASS A 239 1K –
ALMADEN MINERALS LTD COM CL B 6 10K –
ALPS ETF TR ALERIAN MLP 156 18K –
AMAZON COM INC COM 931 504 –
AMERICAN ELEC PWR CO INC COM 788 8K –
AMGEN INC COM 275 1K –
APOLLO SR FLOATING RATE FD I COM 2K 109K –
APPLE INC COM 791 3K –
BLACKROCK CAPITAL INVESTMENT COM 162 33K –
BLACKROCK DEBT STRAT FD INC COM NEW 169 15K –
BLACKROCK FLOATING RATE INCO COM 3K 262K –
BLACKROCK INCOME TR INC COM 149 25K –
BLACKROCK LTD DURATION INC T COM SHS 3K 192K –
CONOCOPHILLIPS COM 227 3K –
CONSOLIDATED EDISON INC COM 611 7K –
DOMINION ENERGY INC COM 598 7K –
DTE ENERGY CO COM 352 3K –
EATON VANCE FLTING RATE INC COM 2K 178K –
EATON VANCE LTD DUR INCOME F COM 179 13K –
EATON VANCE SR FLTNG RTE TR COM 3K 195K –
EDISON INTL COM 202 3K –
ENTERPRISE PRODS PARTNERS L COM 358 13K –
EXELON CORP COM 205 5K –
FIRSTENERGY CORP COM 299 6K –
FS KKR CAPITAL CORP COM 1K 227K –
HOME DEPOT INC COM 1K 5K –
INVESCO CALIF VALUE MUN INC COM 244 19K –
INVESCO DYNAMIC CR OPP FD COM 673 59K –
ISHARES GOLD TRUST ISHARES 166 11K –
ISHARES INC MSCI FRNTR100ETF 310 10K –
ISHARES TR MSCI EAFE ETF 741 11K –
ISHARES TR MSCI EMG MKT ETF 2K 48K –
ISHARES TR RUS 1000 ETF 10K 58K –
ISHARES TR RUS 1000 GRW ETF 2K 10K –
ISHARES TR RUS 1000 VAL ETF 365 3K –
ISHARES TR RUS 2000 GRW ETF 320 1K –
ISHARES TR SP SMCP600VL ETF 7K 43K –
ISHARES TR U.S. BAS MTL ETF 546 6K –
ISHARES TR U.S. ENERGY ETF 2K 59K –
ISHARES TR U.S. FINLS ETF 3K 24K –
ISHARES TR U.S. REAL ES ETF 2K 19K –
ISHARES TR U.S. TECH ETF 2K 7K –
ISHARES TR US HLTHCARE ETF 4K 16K –
JOHNSON & JOHNSON COM 905 6K –
JPMORGAN CHASE & CO COM 243 2K –
MFS CHARTER INCOME TR SH BEN INT 2K 194K –
MFS GOVT MKTS INCOME TR SH BEN INT 74 16K –
MFS INTER INCOME TR SH BEN INT 1K 383K –
MFS MULTIMARKET INCOME TR SH BEN INT 1K 170K –
MICROSOFT CORP COM 2K 10K –
NEXTERA ENERGY INC COM 1K 6K –
NUVEEN CA QUALTY MUN INCOME COM 203 14K –
NUVEEN FLOATING RATE INCOME COM 3K 307K –
NUVEEN FLTNG RTE INCM OPP FD COM SHS 2K 215K –
PIMCO HIGH INCOME FD COM SHS 463 62K –
PIONEER FLOATING RATE TR COM 3K 256K –
PORTLAND GEN ELEC CO COM NEW 740 13K –
PPL CORP COM 215 6K –
PUTNAM MASTER INTER INCOME T SH BEN INT 302 64K –
PUTNAM PREMIER INCOME TR SH BEN INT 338 62K –
SELECT SECTOR SPDR TR SBI CONS STPLS 3K 54K –
SELECT SECTOR SPDR TR SBI INT-UTILS 13K 195K –
STELLUS CAP INVT CORP COM 383 27K –
TEMPLETON GLOBAL INCOME FD COM 123 20K –
TPG SPECIALTY LENDING INC COM 652 30K –
VANECK VECTORS ETF TRUST AGRIBUSINESS ETF 1K 19K –
VOYA PRIME RATE TR SH BEN INT 2K 457K –
WHITEHORSE FIN INC COM 444 32K –