CW Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting. Financial planning was provided to 1–10 clients last fiscal year.
CW Securities reports 145 clients. They include 109 high-net-worth individuals and 36 individual clients. Of its assets, 100.0% ($113M across 145 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 25% | 5% |
| High-net-worth individuals | 75% | 95% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 36 | $6.22M | 5.5% | $173K |
| High-net-worth individuals | 109 | $107M | 94.5% | $984K |
| Total | 145 | $113M | 100% | $783K |
- Clients
- 36
- Regulatory AUM
- $6.22M
- AUM share
- 5.5%
- Avg. per client
- $173K
- Clients
- 109
- Regulatory AUM
- $107M
- AUM share
- 94.5%
- Avg. per client
- $984K
Total
- Clients
- 145
- Regulatory AUM
- $113M
- AUM share
- 100%
- Avg. per client
- $783K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
CW Securities is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Plans
- Financial plans are available with fees of $2,000 to $5,000 based on complexity, negotiable.
- Non-securities advice
- Advice on non-securities matters such as estate, insurance or annuity advice is at a standard hourly rate of $150, negotiable.
Michael Edward Cox owns 75% or more of CW Securities. The leadership team of CW Securities includes President Michael Edward Cox. It has 3 employees, 1 of them in advisory roles.
Staff
- 3 employees
- 1 in advisory functions
- 3 state-registered reps
- 3 broker-dealer reps
- 3 insurance agents
- Owns 75% or more of CW Securities, LLC
Michael Edward Cox
Control person · since February 2002
Besides its headquarters, CW Securities has 0 offices, with 1 listed address in 1 state.
Tennessee · 1 listed address
- 8870 Cedar Spring Lane, Suite 208, KnoxvilleHQ
Other business names
CW Securities has reported 1 other business name to the SEC.
- CW Securities, LLC
Contact and registration details
- Legal name
- CW Securities, LLC
- Headquarters
- 8870 Cedar Spring Lane, Suite 208, Knoxville, TN 37923
- Website
- Not reported
- Phone
- 865-690-9886
- SEC file
- 801-135859
- Structure
- Tennessee LLC
- Fiscal year end
- December
CW Securities’ named custodians for separately managed accounts are Charles Schwab ($77.8M, 99%) and Capital Client Group ($680K, 1%). CW Securities does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $77.8M99%
- Capital Client GroupCapital Client Group, Inc. · Los Angeles, CA · $680K1%
At year end, CW Securities’ separately managed accounts were mostly in stocks (78%) and cash (11%).
What the accounts hold
- Stocks78%
- Funds2%
- Bonds9%
- U.S. government and agency bonds6%
- State and local bonds3%
- Cash11%
How many clients does CW Securities have?
CW Securities has 145 clients and manages $113 million for them, as of September 2026. They include 109 high-net-worth individuals and 36 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 9 September 2026
What services does CW Securities offer?
CW Securities provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, and pension consulting.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does CW Securities use?
CW Securities’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $77.8M and Capital Client Group, Inc. (Los Angeles, CA), with $680K. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 September 2026
How many financial advisors does CW Securities have?
CW Securities has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 1 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does CW Securities invest in?
At the end of its last fiscal year, CW Securities’ separately managed accounts held 78% exchange-traded equities, 11% cash and equivalents, 6% U.S. government and agency bonds, 3% state and local bonds and 2% registered funds (mutual funds, ETFs, BDCs).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns CW Securities?
CW Securities’ direct owner is Michael Edward Cox (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 9 September 2026
How does CW Securities get paid?
CW Securities is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact CW Securities?
CW Securities’ main office is at 8870 Cedar Spring Lane, Suite 208, Knoxville, TN 37923. Its phone number is 865-690-9886.