# AWM Capital, LLC

> AWM Capital, LLC is an SEC-registered investment advisory firm in Phoenix, AZ, registered since 2018, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 13, 2026.

- CRD: 287980
- Filed as: AWM CAPITAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Phoenix, AZ
- Filing period: October 2026
- Form ADV filing dated: March 13, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/287980
- AdvisorCensus page: https://advisorcensus.com/firm/awm-capital-llc-phoenix-az-287980

## Quick answers

**How is AWM Capital, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), AWM Capital, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**What does AWM Capital, LLC's brochure say about its fees?**
Its Form ADV Part 2A brochure dated March 13, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is AWM Capital, LLC located?**
AWM Capital, LLC's principal office is in Phoenix, AZ, according to its Form ADV; the April 2026 filing also lists 4 other offices (Schedule D, Section 1.F).

**Is AWM Capital, LLC registered with the SEC or a state?**
AWM Capital, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 287980.

**How much does AWM Capital, LLC manage?**
AWM Capital, LLC reports $1,487,239,767 in regulatory assets under management in its Form ADV filing dated March 13, 2026 (100% discretionary).

**How have AWM Capital, LLC's assets and staff changed since 2021?**
In the Form ADV data for AWM Capital, LLC: Regulatory assets under management: $268,012,169 in the October 2021 data and $1,487,239,767 in the October 2026 data, up 455%. Total employees: 14 in October 2021 and 38 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does AWM Capital, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (236); individuals (other than high net worth individuals) (219); pooled investment vehicles (other than investment companies and business development companies) (12).

**Which custodians does AWM Capital, LLC use?**
AWM Capital, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does AWM Capital, LLC report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/287980

**What changed in AWM Capital, LLC's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 24 to 28. Regulatory assets under management went from $1,152,024,220 to $1,487,239,767 (+29%). Registered or notice-filed in AL, AR, IL.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 13, 2026)

- Asset-based fee: up to 2% of assets a year (the maximum the brochure states)

> For our investment advisory services, we are paid an annual fee based on the percentage of client assets under advisement, ranging up to 2.00% annually of the assets’ value, with a minimum annual fee of $20,000

- Minimum annual fee: $20,000

> For our investment advisory services, we are paid an annual fee based on the percentage of client assets under advisement, ranging up to 2.00% annually of the assets’ value, with a minimum annual fee of $20,000

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $1,487,239,767
- Discretionary: $1,487,239,767
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 219 | $75,151,469 |
| High net worth individuals | 236 | $1,294,206,494 |
| Pooled investment vehicles (other than investment companies and business development companies) | 12 | $110,636,803 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $1,072,568 |
| Charitable organizations | Fewer than 5 | $6,172,433 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2018 (7 years)
- Employees: 38 total, 28 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, AR, AZ, CA, FL, GA, IL, IN, LA, MA, MO, NC, NE, NH, NV, OH, SC, TN, TX, WA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(5): Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/287980

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Atlanta, GA
- Baton Rouge, LA
- Pasadena, CA
- Tyler, TX

### Websites listed on Form ADV (Item 1.I)
- athletefamilyoffice.com
- awmcap.com
- facebook/AWM CAPITAL
- Facebook @ATHLETEWEALTH
- Instagram @ATHLETEWEALTH
- Instagram @AWMCAPITAL
- LinkedIn @awmcapital
- X @ATHLETEWEALTH
- X @AWMCAPITAL

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $268,012,169 | 14 | August 5, 2021 |
| October 2022 | $432,604,263 | 24 | June 30, 2022 |
| October 2023 | $530,893,901 | 21 | July 27, 2023 |
| October 2024 | $860,648,664 | 30 | May 15, 2024 |
| October 2025 | $1,152,024,220 | 27 | March 31, 2025 |
| October 2026 | $1,487,239,767 | 38 | March 13, 2026 |

Regulatory assets under management: $268,012,169 in the October 2021 data and $1,487,239,767 in the October 2026 data, up 455%.
Total employees: 14 in October 2021 and 38 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 24 to 28.
- Regulatory assets under management went from $1,152,024,220 to $1,487,239,767 (+29%).
- Registered or notice-filed in AL, AR, IL.

### January 2026
- No longer registered or notice-filed in CO.

### December 2025
- Changed its office addresses in Baton Rouge, LA.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AWM Capital, LLC (CRD 287980): Form ADV filing data as of October 2026.