CWS Investments
Firm details
- Headquarters
- Newport Beach, California
- CRD number
- 23551
- Registered since
- January 26, 1989
- Fee structure
- Other
Firm profile
FINTRXOverview
CWS Investments is a privately held corporate entity owned by individuals that operates primarily as a broker-dealer. The firm is state-registered in California and Illinois and reports a fee model categorized as "Other," suggesting non-standard or bespoke billing arrangements rather than a simple AUM or commission-only structure. CWS Investments is not identified as an active ESG investor. The firm's public profile shows multiple industry roles beyond brokerage: affiliations include real estate brokerage activity and acting as sponsor, general partner, or managing member of pooled investment vehicles and limited partnerships. Those roles indicate the firm participates on both the transaction side (brokerage, real estate deals) and the sponsor/sponsor-administration side of private investment structures.
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Owners & executives
1 of 1
Mark Ruggles
Chief Operating OfficerCRD 2637412
Contacts
3 of 17
Patrick Kendall
Managing Director and PartnerCRD 4400795

James Morrison
PresidentCRD 6757898

Marcus Lam
Vice President, InvestmentsCRD 5030836
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
Newport Beach, CA
Orange
Location
Newport Beach, CA
Headquartered in Newport Beach, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.
- Metro area
- Los Angeles-Long Beach, CA
- Region
- West
- County
- Orange
- Address
- 14 Corporate Plaza Dr
- Time zone
- PT (UTC-8)
- Office locations
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