{"url":"https://nivawealth.com/firms/cw-securities-124496","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/124496","regulatoryAum":113478500,"crd":"124496","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2129658","suffix":null,"lastName":"COX","firstName":"MICHAEL","middleName":"EDWARD"},{"crd":"6691822","suffix":null,"lastName":"Head","firstName":"Monica","middleName":"Reeves"},{"crd":"3081967","suffix":null,"lastName":"SIMPSON","firstName":"JACKIE","middleName":"LEE"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-135859","legalName":"CW Securities, LLC","displayName":"CW Securities","slug":"cw-securities-124496","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Tennessee limited liability company","fiscalYearEnd":"December","headquarters":{"street":"8870 Cedar Spring Lane, Suite 208","city":"Knoxville","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"37923"},"tradeNames":["CW Securities, LLC"],"registration":{"secApproved":"29 May 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":782610.3448275862,"staff":{"employees":3,"advisory":1,"brokerDealerReps":3,"insuranceAgents":3,"promoters":0},"aum":{"regulatory":113478500,"discretionary":113478500,"discretionaryAccounts":145,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":0,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":36,"regulatoryAum":6215879},{"label":"High-net-worth individuals","clients":109,"regulatoryAum":107262621}],"feePrograms":[{"role":"other","program":"Financial Plans","summary":"Financial plans are available with fees of $2,000 to $5,000 based on complexity, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047141","versionId":1047141,"submittedOn":"2026-06-03","documentName":"JUNE 3 2026 CWS BROCHURE"},{"role":"other","program":"Non-securities advice","summary":"Advice on non-securities matters such as estate, insurance or annuity advice is at a standard hourly rate of $150, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047141","versionId":1047141,"submittedOn":"2026-06-03","documentName":"JUNE 3 2026 CWS BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:43:35.668633+00:00","documents":[{"name":"JUNE 3 2026 CWS BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047141","versionId":1047141,"submittedOn":"2026-06-03"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044291","versionId":1044291,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019295","versionId":1019295,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019294","versionId":1019294,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019293","versionId":1019293,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1019292","versionId":1019292,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=950887","versionId":950887,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=950886","versionId":950886,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=950417","versionId":950417,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=950416","versionId":950416,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=950298","versionId":950298,"submittedOn":null},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=950296","versionId":950296,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":77828419},{"name":"Capital Client Group, Inc.","shortName":"Capital Client Group","location":"Los Angeles, CA","smaAssets":680244}],"custodyNote":"CW Securities does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Michael Edward Cox","title":"President/Chief Compliance Officer","crd":"2129658"},{"name":"Nancy Harris Coleman","title":"Minority Owner","crd":"7027816"},{"name":"Monica Reeves Head","title":"FINOP","crd":"6691822"}],"ownership":[{"label":"Michael Edward Cox","detail":"President/chief compliance officer in the 75% or more ownership band and a control person, since February 2002."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Tennessee","offices":1,"addresses":[{"street":"8870 Cedar Spring Lane, Suite 208","city":"Knoxville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"865-690-9886","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services"],"financialPlanningClients":"1-10","assetMix":[{"label":"Exchange-traded equity securities","percent":78},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Cash and cash equivalents","percent":11}],"privateFunds":0},"sources":{"adv1FilingDate":"9 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/124496/PDF/124496.pdf","brochureDate":"3 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047141","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does CW Securities have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does CW Securities offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does CW Securities use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does CW Securities have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does CW Securities invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns CW Securities?","answer":"CW Securities’ direct owner is Michael Edward Cox (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 9 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does CW Securities get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact CW Securities?","answer":"CW Securities’ main office is at 8870 Cedar Spring Lane, Suite 208, Knoxville, TN 37923. Its phone number is 865-690-9886.","source":"Form ADV Part 1A, Item 1.F, filed 9 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}