{"url":"https://nivawealth.com/firms/hw-capital-298731","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/298731","regulatoryAum":320950405,"crd":"298731","history":[{"filedOn":"2021-03-17","regulatoryAum":350017176,"clients":5,"employees":2,"offices":1},{"filedOn":"2022-03-23","regulatoryAum":355301785,"clients":6,"employees":2,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":329450445,"clients":6,"employees":2,"offices":1},{"filedOn":"2024-03-28","regulatoryAum":288726739,"clients":6,"employees":2,"offices":1},{"filedOn":"2025-03-28","regulatoryAum":305121384,"clients":6,"employees":2,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":320950405,"clients":6,"employees":2,"offices":1}],"secFileNumber":"801-114174","legalName":"HW Capital LLC","displayName":"HW Capital","slug":"hw-capital-298731","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1437 7th Street, Suite 200","city":"Santa Monica","state":"CA","stateName":"California","country":"United States","postalCode":"90401"},"tradeNames":[],"registration":{"secApproved":"24 October 2018","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":53491734.166666664,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":320950405,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":320950405,"nonDiscretionaryAccounts":29,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":6,"regulatoryAum":320950405}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:32:38.950921+00:00","documents":[{"name":"HW CAPITAL BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031001","versionId":1031001,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"JPMorgan Chase Bank, N.A.","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":177398970}],"custodyNote":"HW Capital does not have custody of client assets.","leadership":[{"name":"Paul Haaga III","title":"Chief Compliance Officer","crd":"6232784"},{"name":"Brian Weissert","title":"Managing Partner","crd":"7021540"}],"ownership":[{"label":"Paul Haaga III","detail":"Chief compliance officer in the 50% to 75% ownership band and a control person, since August 2018."},{"label":"Brian Weissert","detail":"Managing partner in the 50% to 75% ownership band and a control person, since August 2018."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"1437 7th Street, Suite 200","city":"Santa Monica","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"818-489-3073","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["Fixed fees (other than subscription fees)","Other"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":35},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":14},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":44},{"label":"Cash and cash equivalents","percent":4},{"label":"Other","percent":2,"detail":"Loans and Notes"}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/298731/PDF/298731.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031001","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 HW Capital have?","answer":"HW Capital has 6 clients and manages $321 million for them, as of March 2026. They include 6 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does HW Capital offer?","answer":"HW Capital provides portfolio management for individuals and small businesses and selecting other managers.","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 HW Capital use?","answer":"HW Capital’s separately managed account assets are held at JPMorgan Chase Bank, N.A. (New York, NY), with $177M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does HW Capital have?","answer":"HW Capital has 0 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 HW Capital invest in?","answer":"At the end of its last fiscal year, HW Capital’s separately managed accounts held 44% pooled vehicles (private funds and similar), 35% exchange-traded equities, 14% state and local bonds, 4% cash and equivalents, 2% other and 1% U.S. government and agency bonds. The 2% other category is described as: Loans and Notes.","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 HW Capital?","answer":"HW Capital’s direct owners are Paul Haaga III (50% to 75%) and Brian Weissert (50% to 75%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does HW Capital get paid?","answer":"HW Capital is paid through fixed fees and other compensation. 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":"Is HW Capital registered with the SEC?","answer":"Yes, HW Capital has been registered with the SEC as an investment adviser since 24 October 2018. Its CRD number is 298731 and its SEC file number is 801-114174.","source":"Form ADV Part 1A, Item 1, filed 30 March 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact HW Capital?","answer":"HW Capital’s main office is at 1437 7th Street, Suite 200, Santa Monica, CA 90401. Its phone number is 818-489-3073.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 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."}