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| Happy Holidays!! thanks for using AUM13F!! |
| SWS Capital Management LLC
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| CRD # | 119043 |
| SEC # | 801-61480 |
| CIK # | |
| AUM | $425.5 M (2025-03-31) |
| Employees | 10 (40% Investors, 50% Brokers) |
| Phone | 212-461-6500 |
| Address | 100 Wall Street New York, NY 10005 |
| Source | [IAPD] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| Other | New York Social Equity Cannabis Investment Fund LP | [2024-03-28] | 15.0 | 103.0 |
| Other | Clear Vision Impact Fund LP | 2022-03-30 | 93.9 |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 2 | 0.2 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 5 | 0.2 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 9 | 0.4 |
| By Discretionary | ||
| Discretionary | 8 | 0.4 |
| Non-Discretionary | 1 | 0.0 |
| Total | 9 | 0.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 0.4 | |
| Total | 9 | 0.4 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| William Thompson Jr | 5 | ||
| Ateesh Chanda | 1 | ||
| Lavetta Willis | 1 |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
Volterra Technologies LP
✚
|
NY | 0.4 |
|
DRC Investment Advisors LLC
✚
|
CA | 0.4 |
|
Manteio Scalable Technologies LLC
✚
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NJ | 0.4 |
|
Embassy Asset Management LP
✚
|
NJ | 0.4 |
|
Permira Credit LLC
✚
|
CA | 0.4 |
|
Crossbeam Venture Partners LLC
✚
|
NY | 0.4 |
|
Gifford Fong Associates
✚
|
CA | 0.4 |
|
Guild Capital Management LLC
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|
0.4 | |
|
USCF Advisers LLC
✚
|
CA | 0.4 |
|
Venture Capital Fund of America III Inc
✚
|
NY | 0.4 |