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CWS Investments

Newport Beach, CAState-registered investment adviserCRD 23551

Filed as CWS INVESTMENTS · Legal name Clayton, Williams & Sherwood Investments

Public record (IAPD)

CWS Investments is a state-registered investment advisory firm in Newport Beach, CA, registered since 2013, with no regulatory assets under management reported in its Form ADV filing dated February 13, 2026.

13 years
registered since 2013
Not reported
assets under management
1 arrangement
Other
1
disclosure items (Item 11)

Quick answers

From the filing

How is CWS Investments compensated?

On its Form ADV (Item 5.E, October 2026), CWS Investments reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure.

Where is CWS Investments located?

CWS Investments' principal office is in Newport Beach, CA, according to its Form ADV.

Is CWS Investments registered with the SEC or a state?

CWS Investments is a state-registered investment advisory firm, registered since 2013. Status as filed: APPROVED. CRD 23551.

Does CWS Investments report any disciplinary disclosures?

Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/23551

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
  • Other

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

Not reported.

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 Fewer than 5 Assets Not reported
High net worth individuals
Clients Fewer than 5 Assets Not reported
Banking or thrift institutions
Clients Fewer than 5 Assets Not reported
Pension and profit sharing plans (but not the plan participants or government pension plans)
Clients Fewer than 5 Assets Not reported
Charitable organizations
Clients Fewer than 5 Assets Not reported
State or municipal government entities (including government pension plans)
Clients Fewer than 5 Assets Not reported
Other investment advisers
Clients Fewer than 5 Assets Not reported
Insurance companies
Clients Fewer than 5 Assets Not reported
Sovereign wealth funds and foreign official institutions
Clients Fewer than 5 Assets Not reported
Corporations or other businesses not listed above
Clients Fewer than 5 Assets Not reported

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
  • Other

Registration and firm details

Items 1, 2, 5
Legal name
Clayton, Williams & Sherwood Investments
Registration
State-registered investment adviser. Status as filed: APPROVED.
Registered since
2013 (13 years)
Employees
Total: 27. Performing investment advisory functions: 12.
Wrap fee program participation
No.
States registered or notice-filed
2 states or jurisdictions
CAIL

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

Disclosures

Item 11

1 Reports 1 disclosure item on Form ADV Item 11. View on IAPD.

Questions answered yes on this filing

Regulatory matters Items 11.C to 11.G

  • 11.E(2) Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. What happened, and who was involved, is on the Disclosure Reporting Pages of 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. CWS Investments (CRD 23551): Form ADV filing data as of October 2026.
https://advisorcensus.com/firm/cws-investments-newport-beach-ca-23551