# S. Williams Capital, LLC

> S. Williams Capital, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2025, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 9, 2026.

- CRD: 173204
- Filed as: S. WILLIAMS CAPITAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: March 9, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/173204
- AdvisorCensus page: https://advisorcensus.com/firm/s-williams-capital-llc-new-york-ny-173204

## Quick answers

**How is S. Williams Capital, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), S. Williams Capital, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**Where is S. Williams Capital, LLC located?**
S. Williams Capital, LLC's principal office is in New York, NY, according to its Form ADV.

**Is S. Williams Capital, LLC registered with the SEC or a state?**
S. Williams Capital, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 173204.

**How much does S. Williams Capital, LLC manage?**
S. Williams Capital, LLC reports $29,215,166 in regulatory assets under management in its Form ADV filing dated March 9, 2026 (100% discretionary).

**How have S. Williams Capital, LLC's assets and staff changed since 2025?**
In the Form ADV data for S. Williams Capital, LLC: Regulatory assets under management: $27,653,293 in the October 2025 data and $29,215,166 in the October 2026 data, up 6%. Total employees: 1 in October 2025 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does S. Williams Capital, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (12); individuals (other than high net worth individuals) (5).

**Which custodians does S. Williams Capital, LLC use?**
S. Williams Capital, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Interactive Brokers LLC as a custodian holding 10% or more of its separately managed account assets.

**Does S. Williams Capital, 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/173204

**Does S. Williams Capital, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 9, 2026 says: "The minimum required to open an account is $50,000, subject to waiver, reduction, or increase at SWC’s discretion."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 9, 2026)

- Account minimum: $50,000 (the brochure says it may be waived or negotiated)

> The minimum required to open an account is $50,000, subject to waiver, reduction, or increase at SWC’s discretion.

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

### Custodians (Schedule D, Section 5.K(3))
- Interactive Brokers LLC

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: $29,215,166
- Discretionary: $29,215,166
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 5 | $2,405,315 |
| High net worth individuals | 12 | $15,044,750 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | Fewer than 5 | $11,765,101 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2025 (1 year)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: GA, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- swilliamscapital.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $27,653,293 | 1 | February 28, 2025 |
| October 2026 | $29,215,166 | 1 | March 9, 2026 |

Regulatory assets under management: $27,653,293 in the October 2025 data and $29,215,166 in the October 2026 data, up 6%.
Total employees: 1 in October 2025 and 1 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. S. Williams Capital, LLC (CRD 173204): Form ADV filing data as of October 2026.