RSW Investments

RIASEC Registered

Total AUM

$2.3B

Discretionary

$2.3B

100% of AUM

Avg account

$1.4M

Accounts

1,632

Employees

10

Advisory reps

5

Firm details

Headquarters: Summit, New Jersey
CRD number: 302023
Registered since: May 17, 2019
Website: www.rswinvestments.com
Custodians: MORGAN STANLEY & CO. LLC, UBS FINANCIAL SERVICES INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Fee structure: Percentage of AUM
Client types: HNWI87.98%
Individuals12.02%
Services: Portfolio Management for IndividualsPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

RSW Investments is a limited liability company that operates as an institutional registered investment adviser; it registered with the SEC in 2019. The firm serves individual and family clients and charges investment fees based on a percentage of assets under management. Its advisory services emphasize portfolio management for individuals and small businesses, and it also provides portfolio management for businesses or institutional accounts. RSW reports a preference toward fixed-income strategies and does not identify as an active ESG investor.

Assets & Accounts

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

State & Local Bonds96%
US Government Bonds3%
Cash & Cash Equivalents1%

Owners & executives

3 of 3

Robert Waas
Chief Executive Officer & Chief Investment OfficerCRD 1278249
Christina Sears
Vice President, Chief Compliance OfficerCRD 2708589
Rebecca Harris
Chief Operating OfficerCRD 5255524

Contacts

2 of 2

Matthew Werner
Senior Portfolio ManagerCRD 5649837
Gregory Stumm
Senior Vice PresidentCRD 4730753

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

Primary office

Summit, NJ

Union

Location

Summit, NJ

Headquartered in Summit, NJ, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: Union
Address: 47 Maple St
Time zone: ET (UTC-5)
Office locations

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