# AWM Investment Company Inc

> AWM Investment Company Inc is an SEC-registered investment advisory firm in New York, NY, registered since 1991, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 110346
- Filed as: AWM INVESTMENT COMPANY INC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/110346
- AdvisorCensus page: https://advisorcensus.com/firm/awm-investment-company-inc-new-york-ny-110346

## Quick answers

**How is AWM Investment Company Inc compensated?**
On its Form ADV (Item 5.E, October 2026), AWM Investment Company Inc reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is AWM Investment Company Inc located?**
AWM Investment Company Inc's principal office is in New York, NY, according to its Form ADV.

**Is AWM Investment Company Inc registered with the SEC or a state?**
AWM Investment Company Inc is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 110346.

**How much does AWM Investment Company Inc manage?**
AWM Investment Company Inc reports $1,316,522,778 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have AWM Investment Company Inc's assets and staff changed since 2021?**
In the Form ADV data for AWM Investment Company Inc: Regulatory assets under management: $997,719,317 in the October 2021 data and $1,316,522,778 in the October 2026 data, up 32%. Total employees: 12 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does AWM Investment Company Inc serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (8).

**Does AWM Investment Company Inc report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110346

**What changed in AWM Investment Company Inc's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $1,103,219,298 to $1,316,522,778 (+19%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $1,316,522,778
- Discretionary: $1,316,522,778
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 8 | $1,316,522,778 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 1991 (34 years)
- Employees: 14 total, 8 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $997,719,317 | 12 | March 31, 2021 |
| October 2022 | $1,221,644,447 | 13 | August 3, 2022 |
| October 2023 | $842,959,433 | 14 | March 31, 2023 |
| October 2024 | $900,361,242 | 15 | March 28, 2024 |
| October 2025 | $1,103,219,298 | 14 | March 28, 2025 |
| October 2026 | $1,316,522,778 | 14 | March 31, 2026 |

Regulatory assets under management: $997,719,317 in the October 2021 data and $1,316,522,778 in the October 2026 data, up 32%.
Total employees: 12 in October 2021 and 14 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $1,103,219,298 to $1,316,522,778 (+19%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AWM Investment Company Inc (CRD 110346): Form ADV filing data as of October 2026.