AdvisorCensus / Financial advisors / Rhode Island / Providence / Transwestern Capital Advisors, LLC
Transwestern Capital Advisors, LLC
Filed as TRANSWESTERN CAPITAL ADVISORS, LLC · Legal name Dekoning and Company, LLC
Transwestern Capital Advisors, LLC is an SEC-registered investment advisory firm in Newport, RI, registered since 2006, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.
Quick answers
From the filingHow is Transwestern Capital Advisors, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Transwestern Capital Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.
Where is Transwestern Capital Advisors, LLC located?
Transwestern Capital Advisors, LLC's principal office is in Newport, RI, according to its Form ADV.
Is Transwestern Capital Advisors, LLC registered with the SEC or a state?
Transwestern Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 141605.
How much does Transwestern Capital Advisors, LLC manage?
Transwestern Capital Advisors, LLC reports $73,678,904 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).
How have Transwestern Capital Advisors, LLC's assets and staff changed since 2021?
In the Form ADV data for Transwestern Capital Advisors, LLC: Regulatory assets under management: $483,901,896 in the October 2021 data and $73,678,904 in the October 2026 data, down 85%. Total employees: 1 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Transwestern Capital Advisors, LLC serve?
By number of clients on Form ADV Item 5.D: investment companies (1).
Does Transwestern Capital Advisors, 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/141605
What changed in Transwestern Capital Advisors, LLC's recent Form ADV filings?
In the January 2026 filing data: No longer registered or notice-filed in RI.
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- A percentage of assets under your management
- Fixed fees (other than subscription fees)
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
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 31, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$73,678,904 as of October 2026, filing dated March 31, 2026.
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.DA 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- Portfolio management for investment companies (and business development companies)
Registration and firm details
Items 1, 2, 5- Legal name
- Dekoning and Company, LLC
- Also doing business as
- TRANSWESTERN CAPITAL ADVISORS, LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2006 (20 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $73,678,904 | 1 | March 31, 2026 |
| October 2025 | $74,116,257 | 1 | May 13, 2025 |
| October 2024 | $116,045,216 | 1 | March 28, 2024 |
| October 2023 | $117,186,813 | 1 | February 15, 2023 |
| October 2022 | $354,857,819 | 1 | February 7, 2022 |
| October 2021 | $483,901,896 | 1 | June 21, 2021 |
Regulatory assets under management: $483,901,896 in the October 2021 data and $73,678,904 in the October 2026 data, down 85%.
Total employees: 1 in October 2021 and 1 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- January 2026
- No longer registered or notice-filed in RI.
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.ISource: 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. Transwestern Capital Advisors, LLC (CRD 141605): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/transwestern-capital-advisors-llc-newport-ri-141605