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SWS CAPITAL MANAGEMENT, LLC
CRD 119043File 801-61480
APPROVED
Custody
Filing as of Jul 21, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$413.1M
Below cohort median (national)
Discretionary AUM
$355.0M
Non-discretionary $58.0M
Clients
7
9 accounts
Employees
10
Below cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Sep 20, 2002
- Principal office
- 100 WALL STREET, 18TH FLOOR, NEW YORK, NY, 10005
- Phone
- 212-461-6500
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $413.1M
- Discretionary AUM
- $355.0M
- Non-discretionary AUM
- $58.0M
- Discretionary accounts
- 7
- Non-discretionary accounts
- 2
- Total accounts
- 9
- AUM per client
- $59.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $18.9M |
| Pooled investment vehicles | 2 | $208.7M |
| State or municipal government entities | 5 | $178.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- 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 | $425,535,039 | $413,094,749 | decreased by$12,440,290 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1 | 7 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $207,269,151 | $425,535,039 | increased by$218,265,888 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 4 | 9 | increased by5 |
| Apr 1, 2022 | Employees | 8 | 10 | increased by2 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | AUM | $85,722,695 | $207,269,151 | increased by$121,546,456 |
| Apr 1, 2022 | Accounts | 3 | 4 | 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 “SWS CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SWS CAPITAL” 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.