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| SWS Capital Management LLC
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|---|---|
| CRD # | 119043 |
| SEC # | 801-61480 |
| CIK # | |
| AUM | 413.1 M (2026-03-30) |
| Employees | 10 (40% Investors, 50% Brokers) |
| Phone | 212-461-6500 |
| Address | 100 Wall Street New York, NY 10005 |
| Source | [IAPD] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| Other | New York Social Equity Cannabis Investment Fund LP | [2024-03-28] | 15.0 M | 99.5 M |
| Offered $20,000,000 · Filed 2023-01-18 (D) · Exemption 506(b), 3(c)(7) · Remaining $5,000,000 · Duration One year or less · Net Assets Decline to Disclose | ||||
| Other | Clear Vision Impact Fund LP | 2022-03-30 | 97.6 M | |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 2 | 0.2 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 5 | 0.2 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 9 | 0.4 |
| By Discretionary | ||
| Discretionary | 7 | 0.4 |
| Non-Discretionary | 2 | 0.1 |
| Total | 9 | 0.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 0.4 | |
| Total | 9 | 0.4 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| William Thompson Jr | Executive Officer | 5 | 2 | |
| Ateesh Chanda | Executive Officer | 1 | 1 | |
| Lavetta Willis | Executive Officer | 1 | 1 |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $1.6B |
| Clients | 1 |
| Serves | Institutional |
| LEI | 254900777WBOK14YGL27 |
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