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 institutional-focused adviser registered with the SEC since 2002 that primarily manages pooled investment vehicles and provides portfolio management for businesses and institutions. The firm bills clients on a percentage-of-assets basis and classifies itself as an Other Fund Provider rather than a traditional wealth manager or pension consultant. SWS acts beyond pure advisory duties: it is affiliated with broker-dealer activity, is a registered municipal advisor, and serves as sponsor, general partner, or managing member of pooled vehicles it advises. Investment activity is weighted toward fixed-income instruments, with a particular tilt to U.S. government bonds. The firm is not an active ESG investor and does not position itself as a multi-state adviser. Its client base is concentrated and institutional in nature, and its structure reflects an owner type listed as a domestic entity/individual.