{ "crd_number": 141605, "slug": "transwestern-capital-advisors-llc-newport-ri-141605", "primary_business_name": "TRANSWESTERN CAPITAL ADVISORS, LLC", "legal_name": "DEKONING AND COMPANY, LLC", "dbas": [ "TRANSWESTERN CAPITAL ADVISORS, LLC" ], "city": "Newport", "state": "RI", "country": "United States", "cbsa_code": "39300", "metro": { "cbsa_code": "39300", "common_name": "Providence", "msa_name": "Providence-Warwick, RI-MA", "path": "/advisors/ri/providence" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2006-08-25", "years_registered": 20, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": 73678904.0, "raum_discretionary": 73678904.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 1, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "investment_companies": { "raum": 73678904.0, "count": 1 } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_investment_companies" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CO" ], "websites": [ "https://transwestcap.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/141605", "city_as_filed": "NEWPORT", "url": "https://advisorcensus.com/firm/transwestern-capital-advisors-llc-newport-ri-141605", "display_name": "Transwestern Capital Advisors, LLC", "summary": "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.", "citation": "AdvisorCensus. Transwestern Capital Advisors, LLC (CRD 141605): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Portfolio management for investment companies (and business development companies)" ], "quick_answers": [ { "q": "How is Transwestern Capital Advisors, LLC compensated?", "a": "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." }, { "q": "Where is Transwestern Capital Advisors, LLC located?", "a": "Transwestern Capital Advisors, LLC's principal office is in Newport, RI, according to its Form ADV." }, { "q": "Is Transwestern Capital Advisors, LLC registered with the SEC or a state?", "a": "Transwestern Capital Advisors, LLC is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 141605." }, { "q": "How much does Transwestern Capital Advisors, LLC manage?", "a": "Transwestern Capital Advisors, LLC reports $73,678,904 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary)." }, { "q": "How have Transwestern Capital Advisors, LLC's assets and staff changed since 2021?", "a": "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." }, { "q": "What types of clients does Transwestern Capital Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: investment companies (1)." }, { "q": "Does Transwestern Capital Advisors, 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/141605" }, { "q": "What changed in Transwestern Capital Advisors, LLC's recent Form ADV filings?", "a": "In the January 2026 filing data: No longer registered or notice-filed in RI." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 483901896.0, "total_employees": 1, "filing_date": "2021-06-21" }, { "period": "2022-10-01", "regulatory_assets_under_management": 354857819.0, "total_employees": 1, "filing_date": "2022-02-07" }, { "period": "2023-10-01", "regulatory_assets_under_management": 117186813.0, "total_employees": 1, "filing_date": "2023-02-15" }, { "period": "2024-10-01", "regulatory_assets_under_management": 116045216.0, "total_employees": 1, "filing_date": "2024-03-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 74116257.0, "total_employees": 1, "filing_date": "2025-05-13" }, { "period": "2026-10-01", "regulatory_assets_under_management": 73678904.0, "total_employees": 1, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "No longer registered or notice-filed in RI." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/transwestern-capital-advisors-llc-newport-ri-141605.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 1, "fewer_than_5": false, "raum": 73678904.0 } ], "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/141605", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }