SWS Capital Management, LLC

RIASEC RegisteredEst. 2002

Total AUM

$413M

Discretionary

$355M

86% of AUM

Avg account

$45.9M

Accounts

Employees

Advisory reps

Firm details

Headquarters: New York, New York
CRD number: 119043
Registered since: September 20, 2002
Website: www.swscapitalmanagement.com
Custodians: THE BANK OF NEW YORK MELLON, U.S. BANK, N.A., UMB FINANCIAL SERVICES, INC.
Fee structure: Percentage of AUM
Client types: Pooled Investment Vehicles50.52%
State / Municipal Government43.13%
Corporations / Businesses4.58%
Other1.77%
Services: Portfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

SWS Capital Management, LLC is an SEC-registered limited liability company that provides investment management to institutional clients. Registered in 2002, the firm is classified as an “other fund provider” and charges clients a percentage of assets under management. Its advisory work centers on portfolio management for pooled investment vehicles and for businesses or institutions. SWS also performs multiple operational roles tied to pooled vehicles — acting as sponsor, general partner, and managing member — and holds broker-dealer and registered municipal advisor affiliations. The firm does not identify as an active ESG investor and is not organized as a multi-state adviser or a capital allocator; its activities are concentrated on managing and servicing institutional mandates and pooled products rather than deploying capital in an originating or syndicating role.