AdvisorCensus / Financial advisors / Texas / Houston / BWS Investment Management, LLC

BWS Investment Management, LLC

Houston, TXState-registered investment adviserCRD 316686

Filed as BWS INVESTMENT MANAGEMENT, LLC

BWS Investment Management, LLC is a state-registered investment advisory firm in Houston, TX, registered since 2025, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 19, 2026.

1 year

registered since 2025

$64,000,000

assets under management

1 arrangement

Percentage of assets

None

disclosure items (Item 11)

Quick answers

From the filing

How is BWS Investment Management, LLC compensated?

On its Form ADV (Item 5.E, October 2026), BWS Investment Management, LLC 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 BWS Investment Management, LLC located?

BWS Investment Management, LLC's principal office is in Houston, TX, according to its Form ADV.

Is BWS Investment Management, LLC registered with the SEC or a state?

BWS Investment Management, LLC is a state-registered investment advisory firm, registered since 2025. Status as filed: APPROVED. CRD 316686.

How much does BWS Investment Management, LLC manage?

BWS Investment Management, LLC reports $64,000,000 in regulatory assets under management in its Form ADV filing dated March 19, 2026 (100% discretionary).

What types of clients does BWS Investment Management, LLC serve?

By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (320); pension and profit sharing plans (but not the plan participants or government pension plans) (30); high net worth individuals (4).

Does BWS 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/316686

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

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

Regulatory assets under management

Item 5.F

$64,000,000

$64,000,000 as of October 2026, filing dated March 19, 2026.

Discretionary: $64,000,000.Non-discretionary: $0.

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.D

Individuals (other than high net worth individuals)

Clients 320 Assets $44,000,000 (69%)

High net worth individuals

Clients 4 Assets $10,000,000 (16%)

Banking or thrift institutions

Clients 0 Assets $0 (0%)

Investment companies

Clients 0 Assets $0 (0%)

Business development companies

Clients 0 Assets $0 (0%)

Pooled investment vehicles (other than investment companies and business development companies)

Clients 0 Assets $0 (0%)

Pension and profit sharing plans (but not the plan participants or government pension plans)

Clients 30 Assets $10,000,000 (16%)

Charitable organizations

Clients 0 Assets $0 (0%)

State or municipal government entities (including government pension plans)

Clients 0 Assets $0 (0%)

Other investment advisers

Clients 0 Assets $0 (0%)

Insurance companies

Clients 0 Assets $0 (0%)

Sovereign wealth funds and foreign official institutions

Clients 0 Assets $0 (0%)

Corporations or other businesses not listed above

Clients Fewer than 5 Assets $0 (0%)

Other

Clients 0 Assets $0 (0%)

A 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
Portfolio management for businesses (other than small businesses) or institutional clients
Pension consulting services
Selection of other advisers (including private fund managers)
Educational seminars/workshops

Registration and firm details

Items 1, 2, 5

Registration: State-registered investment adviser. Status as filed: APPROVED.
Registered since: 2025 (1 year)
Employees: Total: 5. Performing investment advisory functions: 2.
Wrap fee program participation: No.
States registered or notice-filed: 1 state or jurisdiction

TX

State-registered investment advisers are examined by their state securities regulator. SEC, state, and exempt registration

Disclosures

Item 11

None 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

Changes in the filing

Last 12 months

No 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.I

Not reported.

Source: 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. BWS Investment Management, LLC (CRD 316686): Form ADV filing data as of October 2026.
https://advisorcensus.com/firm/bws-investment-management-llc-houston-tx-316686