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AWM CAPITAL, LLC
CRD 287980File 801-114373
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 13, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.49B
Above cohort median (national)
Discretionary AUM
$1.49B
Clients
467
2,885 accounts
Employees
38
Top 25% of cohort in AZ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Dec 3, 2018
- Principal office
- 1 N. 1ST STREET, SUITE 525, PHOENIX, AZ, 85004
- Phone
- (323) 940-1339
- Website
- HTTP://WWW.AWMCAP.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.49B
- Discretionary AUM
- $1.49B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,885
- Non-discretionary accounts
- 0
- Total accounts
- 2,885
- AUM per client
- $3.2M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Charitable organizations | Fewer than 5 | $6.2M |
| High net worth individuals | 236 | $1.29B |
| Pooled investment vehicles | 12 | $110.6M |
| Pension and profit sharing plans | Fewer than 5 | $1.1M |
| Individuals (other than high net worth individuals) | 219 | $75.2M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
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 11- Q11D5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 27 | 38 | increased by11 |
| Apr 1, 2026 | Clients | 436 | 467 | increased by31 |
| Apr 1, 2026 | AUM | $1,152,024,220 | $1,487,239,767 | increased by$335,215,547 |
| Apr 1, 2026 | Accounts | 2,586 | 2,885 | increased by299 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 24 | 27 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 296 | 436 | increased by140 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $432,604,263 | $1,152,024,220 | increased by$719,419,957 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,385 | 2,586 | increased by1,201 |
| Apr 1, 2022 | Employees | 14 | 24 | increased by10 |
| Apr 1, 2022 | Clients | 237 | 296 | increased by59 |
| Apr 1, 2022 | AUM | $268,012,169 | $432,604,263 | increased by$164,592,094 |
| Apr 1, 2022 | Accounts | 1,109 | 1,385 | increased by276 |
| 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 CAPITAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“AWM 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.