|
⚲
|
| SWS Capital Management LLC
✚
|
|
|---|---|
| CRD # | 119043 |
| SEC # | 801-61480 |
| CIK # | |
| AUM | $498.0 MM (2024-05-23) |
| Employees | 9 (33% Investors, 56% Brokers) |
| Phone | 212-461-6500 |
| Address | 100 Wall Street New York, NY 10005 |
| Source | [IAPD] [Website] [LinkedIn] |
| Total AUM ($BB) |
|---|
| Type | Form D Funds | Date | Sold ($MM) | AUM ($MM) |
|---|---|---|---|---|
| Other | New York Social Equity Cannabis Investment Fund LP | [2024-03-28] | 15.0 | 99.8 |
| Other | Clear Vision Impact Fund LP | 2022-03-30 | 96.7 |
| AUM Breakdown | Accounts | AUM ($BB) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 2 | 0.2 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.2 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 8 | 0.5 |
| By Discretionary | ||
| Discretionary | 7 | 0.5 |
| Non-Discretionary | 1 | 0.0 |
| Total | 8 | 0.5 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 0.5 | |
| Total | 8 | 0.5 |
| Form D Directors | # Filings | # Firms | 2011 - 2024 |
|---|---|---|---|
| William Thompson Jr | 5 | ||
| Ateesh Chanda | 1 | ||
| Lavetta Willis | 1 |
| Comparable Firms | State | AUM ($BB) |
|---|---|---|
|
Centre Asset Management LLC
✚
|
NY | 0.5 |
|
Positive Selection Investment Management LLC
✚
|
CT | 0.5 |
|
Decade Renewable Partners LP
✚
|
TX | 0.5 |
|
Institutional Capital Management Inc
✚
|
MI | 0.5 |
|
Voya Investment Management UK Limited
✚
|
0.5 | |
|
Roc360 Advisors LLC
✚
|
NY | 0.5 |
|
OHA Private Credit Advisors II LP
✚
|
NY | 0.5 |
|
Acadian Asset Management Singapore PTE Ltd
✚
|
0.5 | |
|
Arrow Capital PTY Ltd
✚
|
0.5 | |
|
CSL III Advisor LLC
✚
|
NY | 0.5 |