{ "crd_number": 23551, "slug": "cws-investments-newport-beach-ca-23551", "primary_business_name": "CWS INVESTMENTS", "legal_name": "CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS", "dbas": [], "city": "Newport Beach", "state": "CA", "country": "United States", "cbsa_code": "31080", "metro": { "cbsa_code": "31080", "common_name": "Los Angeles", "msa_name": "Los Angeles-Long Beach-Anaheim, CA", "path": "/advisors/ca/los-angeles" }, "registration_type": "state", "registration_status": "APPROVED", "registration_date": "2013-08-30", "years_registered": 13, "period": "2026-10-01", "filing_date": "2026-02-13", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 27, "advisory_employees": 12, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": null, "count": null, "fewer_than_5": true }, "individuals": { "raum": null, "count": null, "fewer_than_5": true }, "banking_thrift": { "raum": null, "count": null, "fewer_than_5": true }, "state_municipal": { "raum": null, "count": null, "fewer_than_5": true }, "insurance_companies": { "raum": null, "count": null, "fewer_than_5": true }, "pension_profit_sharing": { "raum": null, "count": null, "fewer_than_5": true }, "other_investment_advisers": { "raum": null, "count": null, "fewer_than_5": true }, "high_net_worth_individuals": { "raum": null, "count": null, "fewer_than_5": true }, "corporations_other_businesses": { "raum": null, "count": null, "fewer_than_5": true }, "sovereign_wealth_foreign_official": { "raum": null, "count": null, "fewer_than_5": true } }, "compensation_types": [ "other" ], "advisory_activities": [ "other" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [ "CA", "IL" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/23551", "disclosure_items": [ { "item": "11.E(2)", "question": "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?" } ], "city_as_filed": "NEWPORT BEACH", "url": "https://advisorcensus.com/firm/cws-investments-newport-beach-ca-23551", "display_name": "CWS Investments", "summary": "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.", "citation": "AdvisorCensus. CWS Investments (CRD 23551): Form ADV filing data as of October 2026.", "registration_type_label": "State-registered investment adviser", "compensation_labels": [ "Other" ], "advisory_activity_labels": [ "Other" ], "quick_answers": [ { "q": "How is CWS Investments compensated?", "a": "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." }, { "q": "Where is CWS Investments located?", "a": "CWS Investments' principal office is in Newport Beach, CA, according to its Form ADV." }, { "q": "Is CWS Investments registered with the SEC or a state?", "a": "CWS Investments is a state-registered investment advisory firm, registered since 2013. Status as filed: APPROVED. CRD 23551." }, { "q": "Does CWS Investments report any disciplinary disclosures?", "a": "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" } ], "filing_history": [], "recent_changes": [], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/cws-investments-newport-beach-ca-23551.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": null, "fewer_than_5": true, "raum": null }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": null, "fewer_than_5": true, "raum": null }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": null, "fewer_than_5": true, "raum": null }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": null, "fewer_than_5": true, "raum": null }, { "type": "charitable", "label": "Charitable organizations", "count": null, "fewer_than_5": true, "raum": null }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": null, "fewer_than_5": true, "raum": null }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": null, "fewer_than_5": true, "raum": null }, { "type": "insurance_companies", "label": "Insurance companies", "count": null, "fewer_than_5": true, "raum": null }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": null, "fewer_than_5": true, "raum": null }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": null, "fewer_than_5": true, "raum": null } ], "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/23551", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }