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AWM INVESTMENT COMPANY INC
CRD 110346File 801-40415
APPROVED
Custody
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.32B
Above cohort median (national)
Discretionary AUM
$1.32B
Clients
8
8 accounts
Employees
14
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Dec 17, 1991
- Principal office
- SPECIAL SITUATIONS FUNDS, 527 MADISON AVENUE, SUITE 2600, NEW YORK, NY, 10022
- Phone
- 212-319-6670
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.32B
- Discretionary AUM
- $1.32B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 8
- Non-discretionary accounts
- 0
- Total accounts
- 8
- AUM per client
- $164.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 8 | $1.32B |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | AUM | $1,103,219,298 | $1,316,522,778 | increased by$213,303,480 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 13 | 14 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,221,644,447 | $1,103,219,298 | decreased by$118,425,149 |
| Apr 1, 2022 | Employees | 12 | 13 | increased by1 |
| Apr 1, 2022 | Clients | 7 | 8 | increased by1 |
| Apr 1, 2022 | AUM | $997,719,317 | $1,221,644,447 | increased by$223,925,130 |
| Apr 1, 2022 | Accounts | 7 | 8 | increased by1 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “AWM INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“AWM INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.