# 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.

- CRD: 118538
- Filed as: AWR INVESTMENT MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Rafael, CA
- Filing period: October 2026
- Form ADV filing dated: March 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/118538
- AdvisorCensus page: https://advisorcensus.com/firm/awr-investment-management-llc-san-rafael-ca-118538

## Quick answers

**How 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

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

### Fees and minimums (Form ADV Part 2A brochure dated March 19, 2026)

- 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 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)

> 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 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: $131,590,434
- Discretionary: $131,590,434
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 27 | $15,448,570 |
| High net worth individuals | 27 | $114,190,317 |
| Corporations or other businesses not listed above | Fewer than 5 | $1,951,547 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2024 (2 years)
- Employees: 2 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, NH, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [awrinvestmentmanagement.com](https://awrinvestmentmanagement.com)

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2024 | $115,805,494 | 2 | June 17, 2024 |
| October 2025 | $127,845,794 | 2 | March 21, 2025 |
| October 2026 | $131,590,434 | 2 | March 19, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AWR Investment Management, LLC (CRD 118538): Form ADV filing data as of October 2026.