AdvisorCensus / Financial advisors / California / San Francisco / AWR Investment Management, LLC
AWR Investment Management, LLC
Filed as AWR INVESTMENT MANAGEMENT, LLC
AWR Investment Management, LLC is an SEC-registered investment advisory firm in San Rafael, CA, registered since 2024, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.
Quick answers
From the filingHow is AWR Investment Management, LLC compensated?
On its Form ADV (Item 5.E, October 2026), AWR Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).
How much does AWR Investment Management, LLC charge?
Its Form ADV Part 2A brochure dated March 19, 2026 states: Up to $250,000: 1.5% a year; $250,001 to $1,500,000: 1% a year; $1,500,001 to $3,000,000: 0.75% a year; Above $3,000,001: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.
Where is AWR Investment Management, LLC located?
AWR Investment Management, LLC's principal office is in San Rafael, CA, according to its Form ADV.
Is AWR Investment Management, LLC registered with the SEC or a state?
AWR Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2024. Status as filed: Approved. CRD 118538.
How much does AWR Investment Management, LLC manage?
AWR Investment Management, LLC reports $131,590,434 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).
How have AWR Investment Management, LLC's assets and staff changed since 2024?
In the Form ADV data for AWR Investment Management, LLC: Regulatory assets under management: $115,805,494 in the October 2024 data and $131,590,434 in the October 2026 data, up 14%. Total employees: 2 in October 2024 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does AWR Investment Management, LLC serve?
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (27); high net worth individuals (27).
Which custodians does AWR Investment Management, LLC use?
AWR Investment Management, 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 AWR Investment Management, LLC 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/118538
Does AWR Investment Management, LLC state an account minimum?
Its Form ADV Part 2A brochure dated March 19, 2026 says: "We generally require that you maintain $250,000 under management with us. However, we may waive that minimum at our sole discretion."
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2A| Assets | Annual rate |
|---|---|
| Up to $250,000 | 1.5% |
| $250,001 to $1,500,000 | 1% |
| $1,500,001 to $3,000,000 | 0.75% |
| Above $3,000,001 | 0.5% |
The brochure's wording
Fees for investment management services are calculated as a percentage of assets under management. These fees are billed quarterly in arrears, based on the assets under management as of the last day of the calendar quarter. Our standard fee schedule is:
On the first $250,000 1.50% On amounts from $250,001 to $1,500,000 1.00% On amounts from $1,500,001 to $3,000,000 0.75% On amounts over $3,000,000 0.50%
Minimum quarterly fee: $375
Account minimum: $250,000 (the brochure says it may be waived or negotiated)
The brochure's wording
We generally require that you maintain $250,000 under management with us. However, we may waive that minimum at our sole discretion.
As stated in the firm's Form ADV Part 2A brochure dated March 19, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$131,590,434 as of October 2026, filing dated March 19, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2024 (2 years)
- Employees
- Total: 2. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $131,590,434 | 2 | March 19, 2026 |
| October 2025 | $127,845,794 | 2 | March 21, 2025 |
| October 2024 | $115,805,494 | 2 | June 17, 2024 |
Regulatory assets under management: $115,805,494 in the October 2024 data and $131,590,434 in the October 2026 data, up 14%.
Total employees: 2 in October 2024 and 2 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. AWR Investment Management, LLC (CRD 118538): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/awr-investment-management-llc-san-rafael-ca-118538