{"url":"https://nivawealth.com/firms/sws-capital-management-119043","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/119043","regulatoryAum":413094749,"crd":"119043","history":[{"filedOn":"2021-03-26","regulatoryAum":85722695,"clients":0,"employees":8,"offices":2},{"filedOn":"2022-05-27","regulatoryAum":207269151,"clients":1,"employees":10,"offices":2},{"filedOn":"2023-05-17","regulatoryAum":218386468,"clients":1,"employees":10,"offices":2},{"filedOn":"2024-05-23","regulatoryAum":498020898,"clients":2,"employees":9,"offices":2},{"filedOn":"2025-03-31","regulatoryAum":425535039,"clients":7,"employees":10,"offices":2},{"filedOn":"2026-07-21","regulatoryAum":413094749,"clients":7,"employees":10,"offices":4}],"secFileNumber":"801-61480","legalName":"SWS Capital Management, LLC","displayName":"SWS Capital Management","slug":"sws-capital-management-119043","website":null,"classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"linkedinUrl":"https://www.linkedin.com/company/sws-capital-management/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"100 Wall Street, 18th Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10005"},"tradeNames":[],"registration":{"secApproved":"20 September 2002","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":10,"advisory":4,"brokerDealerReps":5,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":413094749,"discretionary":355049427,"discretionaryAccounts":7,"nonDiscretionary":58045322,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":208679586},{"label":"State or municipal government entities","clients":5,"regulatoryAum":178174784},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":18929047},{"label":"Other","clients":null,"fewerThan5":true,"regulatoryAum":7311332}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":66195095},{"name":"U.S. Bancorp","shortName":"U.S. Bancorp","location":"Minneapolis, MN","smaAssets":66119920},{"name":"Umb Bank","shortName":"Umb Bank","location":"St. Louis, MO","smaAssets":63570011}],"custodyNote":"SWS Capital Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"William Thompson","title":"President","crd":"2316101"},{"name":"Dianne Calabrisotto","title":"Chief Compliance Officer","crd":"1273900"},{"name":"Christopher Williams","title":"Chairman & CEO","crd":"1335377"}],"ownership":[{"label":"Shank Williams Cisneros, LLC","detail":"Member in the 75% or more ownership band and a control person, since October 2020."},{"label":"Suzanne Shank-Werdlow","detail":"Indirect owner: a super majority member of Shank Capital Group, LLC in the 75% or more band and a control person, since March 2021.","parent":"Shank Capital Group, LLC"},{"label":"Christopher Williams","detail":"Indirect owner: chairman of Shank Williams Cisneros, LLC and a control person, since November 2019.","parent":"Shank Williams Cisneros, LLC"},{"label":"Henry Cisneros","detail":"Indirect owner: vice-chairman of Shank Williams Cisneros, LLC and a control person, since November 2019.","parent":"Shank Williams Cisneros, LLC"},{"label":"Shank Capital Group, LLC","detail":"Indirect owner: a member of Shank Williams Cisneros, LLC in the 25% to 50% band and a control person, since March 2021.","parent":"Shank Williams Cisneros, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":1},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"625 North Michigan Ave.","city":"Chicago"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"1325 Campus Parkway","city":"Wall Township"}]},{"state":"New York","offices":1,"addresses":[{"street":"100 Wall Street, 18th Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-461-6500","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"U.S. government/agency bonds","percent":56},{"label":"Investment grade corporate bonds","percent":13},{"label":"Cash and cash equivalents","percent":31}],"privateFunds":2},"sources":{"adv1FilingDate":"21 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/119043/PDF/119043.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does SWS Capital Management have?","answer":"SWS Capital Management has 7 clients and manages $413 million for them, as of July 2026. They include 5 state or municipal government entities and 2 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 21 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does SWS Capital Management offer?","answer":"SWS Capital Management provides portfolio management for pooled vehicles and portfolio management for institutions.","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 SWS Capital Management use?","answer":"SWS Capital Management’s separately managed account assets are held at The Bank of New York Mellon (New York, NY), with $66.2M, U.S. Bancorp (Minneapolis, MN), with $66.1M and Umb Bank (St. Louis, MO), with $63.6M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 21 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does SWS Capital Management have?","answer":"SWS Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 10 employees, and 4 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 0 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 SWS Capital Management invest in?","answer":"At the end of its last fiscal year, SWS Capital Management’s separately managed accounts held 56% U.S. government and agency bonds, 31% cash and equivalents and 13% investment grade corporate bonds. It advises 2 private funds.","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 SWS Capital Management?","answer":"SWS Capital Management is owned through a chain of holding companies by Suzanne Shank-Werdlow. Its direct owner is Shank Williams Cisneros, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 21 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does SWS Capital Management get paid?","answer":"SWS Capital Management is paid through a percentage of assets under management. 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 SWS Capital Management?","answer":"SWS Capital Management’s main office is at 100 Wall Street, 18th Floor, New York, NY 10005. Its phone number is 212-461-6500.","source":"Form ADV Part 1A, Item 1.F, filed 21 July 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."}