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SWS CAPITAL MANAGEMENT, LLC
CRD 119043 · SEC 801-61480
Corporate platformLLC
Large incorporated asset manager or corporate group — typically not a local adviser team.
100 WALL STREET, 18TH FLOOR, NEW YORK, NY, 10005, United States
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$413.1M
Discretionary AUM
$355.0M
Team
10 total employees; 4 advisory reps; 1 broker-dealer reps
Clients
0
Fees
Percentage of AUM
Org form
Limited Liability Company
Filing date
2026-03-30
Disciplinary history
No
Services
Portfolio management (pooled vehicles)Portfolio management (institutions)
Client types
| Type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 2 | $208.7M |
| State/municipal entities | 5 | $178.2M |
States served
NY
All web addresses on file
Official SEC filing: View on IAPD