# CW Securities, LLC

> CW Securities, LLC is an SEC-registered investment advisory firm in Knoxville, TN, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 9, 2026.

- CRD: 124496
- Filed as: CW SECURITIES, LLC
- Also doing business as: CW SECURITIES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Knoxville, TN
- Filing period: October 2026
- Form ADV filing dated: September 9, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/124496
- AdvisorCensus page: https://advisorcensus.com/firm/cw-securities-llc-knoxville-tn-124496

## Quick answers

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

**How much does CW Securities, LLC charge?**
Its Form ADV Part 2A brochure dated June 3, 2026 states: Hourly rate: $150 an hour (specific consultation and administrative services regarding investment and financial concerns of the client). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is CW Securities, LLC located?**
CW Securities, LLC's principal office is in Knoxville, TN, according to its Form ADV.

**Is CW Securities, LLC registered with the SEC or a state?**
CW Securities, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 124496.

**How much does CW Securities, LLC manage?**
CW Securities, LLC reports $113,478,500 in regulatory assets under management in its Form ADV filing dated September 9, 2026 (100% discretionary).

**What types of clients does CW Securities, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (109); individuals (other than high net worth individuals) (36).

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

**Does CW Securities, 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/124496

**What changed in CW Securities, LLC's recent Form ADV filings?**
In the June 2026 filing data: Newly registered with the SEC.

## 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 June 3, 2026)

- Hourly rate: $150 an hour (specific consultation and administrative services regarding investment and financial concerns of the client)

> The standard fee for these services is an hourly rate of $ 150. However, the fee rate is negotiable and may be higher or lower depending on the complexity of the services.

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

### Custodians (Schedule D, Section 5.K(3))
- Capital Client Group, Inc.
- 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: $113,478,500
- Discretionary: $113,478,500
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 36 | $6,215,879 |
| High net worth individuals | 109 | $107,262,621 |

### 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

### Firm details
- Registered since: 2026 (0 years)
- Employees: 3 total, 1 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AL, FL, GA, MD, MI, NC, TN, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## Changes in the filing (last 12 months)

### June 2026
- Newly registered with the SEC.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. CW Securities, LLC (CRD 124496): Form ADV filing data as of October 2026.