{
  "crd_number": 119043,
  "slug": "sws-capital-management-llc-new-york-ny-119043",
  "primary_business_name": "SWS CAPITAL MANAGEMENT, LLC",
  "legal_name": "SWS CAPITAL MANAGEMENT, LLC",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2002-09-20",
  "years_registered": 24,
  "period": "2026-10-01",
  "filing_date": "2026-07-21",
  "carried_forward": false,
  "raum_total": 413094749.0,
  "raum_discretionary": 355049427.0,
  "raum_non_discretionary": 58045322.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 10,
  "advisory_employees": 4,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 7311332.0,
      "count": null,
      "description": "MUSEUM",
      "fewer_than_5": true
    },
    "state_municipal": {
      "raum": 178174784.0,
      "count": 5
    },
    "pooled_investment_vehicles": {
      "raum": 208679586.0,
      "count": 2
    },
    "corporations_other_businesses": {
      "raum": 18929047.0,
      "count": null,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NY"
  ],
  "websites": [
    "https://linkedin.com/company/sws-capital-management",
    "https://swscapitalmanagement.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/119043",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/sws-capital-management-llc-new-york-ny-119043",
  "display_name": "SWS Capital Management, LLC",
  "summary": "SWS Capital Management, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2002, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 21, 2026.",
  "citation": "AdvisorCensus. SWS Capital Management, LLC (CRD 119043): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is SWS Capital Management, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), SWS Capital Management, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "Where is SWS Capital Management, LLC located?",
      "a": "SWS Capital Management, LLC's principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is SWS Capital Management, LLC registered with the SEC or a state?",
      "a": "SWS Capital Management, LLC is an SEC-registered investment advisory firm, registered since 2002. Status as filed: Approved. CRD 119043."
    },
    {
      "q": "How much does SWS Capital Management, LLC manage?",
      "a": "SWS Capital Management, LLC reports $413,094,749 in regulatory assets under management in its Form ADV filing dated July 21, 2026 (86% discretionary)."
    },
    {
      "q": "How have SWS Capital Management, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for SWS Capital Management, LLC: Regulatory assets under management: $85,722,695 in the October 2021 data and $413,094,749 in the October 2026 data, up 382%. Total employees: 8 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does SWS Capital Management, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: state or municipal government entities (including government pension plans) (5); pooled investment vehicles (other than investment companies and business development companies) (2)."
    },
    {
      "q": "Which custodians does SWS Capital Management, LLC use?",
      "a": "SWS Capital Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists The Bank of New York Mellon, U.S. Bank and UMB Bank as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does SWS Capital Management, LLC report any disciplinary disclosures?",
      "a": "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/119043"
    },
    {
      "q": "Does SWS Capital Management, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"The adviser negotiates separately with each separate account client regarding minimum acceptable account size. Normally, the minimum account size is $15 million.\""
    },
    {
      "q": "What changed in SWS Capital Management, LLC's recent Form ADV filings?",
      "a": "In the August 2026 filing data: Added an office in Wall Township, NJ."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 85722695.0,
      "total_employees": 8,
      "filing_date": "2021-03-26"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 207269151.0,
      "total_employees": 10,
      "filing_date": "2022-05-27"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 218386468.0,
      "total_employees": 10,
      "filing_date": "2023-05-17"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 498020898.0,
      "total_employees": 9,
      "filing_date": "2024-05-23"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 425535039.0,
      "total_employees": 10,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 413094749.0,
      "total_employees": 10,
      "filing_date": "2026-07-21"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-08-01",
      "period_label": "August 2026",
      "notes": [
        "Added an office in Wall Township, NJ."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$15,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $15,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "The adviser negotiates separately with each separate account client regarding minimum acceptable account size. Normally, the minimum account size is $15 million."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 15000000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "The adviser negotiates separately with each separate account client regarding minimum acceptable account size. Normally, the minimum account size is $15 million."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "The Bank of New York Mellon",
      "name_as_filed": "THE BANK OF NEW YORK MELLON",
      "affiliated": false
    },
    {
      "name": "U.S. Bank",
      "name_as_filed": "U.S. BANK",
      "affiliated": false
    },
    {
      "name": "UMB Bank",
      "name_as_filed": "UMB BANK",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/sws-capital-management-llc-new-york-ny-119043.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 2,
      "fewer_than_5": false,
      "raum": 208679586.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 178174784.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": null,
      "fewer_than_5": true,
      "raum": 18929047.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": null,
      "fewer_than_5": true,
      "raum": 7311332.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/119043",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}