TSW II Capital Advisors provides portfolio management for pooled vehicles. The firm advises 9 private funds.
TSW II Capital Advisors reports 9 pooled investment vehicles. These counts refer to investment vehicles, rather than the individual investors in them. Of its assets, 100.0% ($545M across 9 accounts) are managed with discretion. Of its clients, 11% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Pooled investment vehicles | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Pooled investment vehicles | 9 | $545M | 100.0% | $60.5M |
| Total | 9 | $545M | 100% | $60.5M |
- Clients
- 9
- Regulatory AUM
- $545M
- AUM share
- 100.0%
- Avg. per client
- $60.5M
Total
- Clients
- 9
- Regulatory AUM
- $545M
- AUM share
- 100%
- Avg. per client
- $60.5M
- Clients outside the U.S.
- 11%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 9
TSW II Capital Advisors is paid through a percentage of assets under management and performance-based fees; its fees and minimums are set out in its brochures on the SEC website.
Lafayette Caldwell owns 75% or more of TSW II Capital Advisors. The leadership team of TSW II Capital Advisors includes President Katharine Nevin, Chief Operating Officer Christopher Fehr and Chief Financial Officer Mindy Freeman. It has 7 employees.
Leadership
- Katharine NevinPresident/Portfolio Manager
- Mindy FreemanChief Financial Officer
- Christopher FehrChief Operating Officer/Chief Compliance Officer
- Lafayette CaldwellChairman
Staff
- 7 employees
- 7 in advisory functions
- Owns 75% or more of TSW II Capital Advisors, LLC
Lafayette Caldwell
Control person · since January 2021
- Owns 5% to 10% of TSW II Capital Advisors, LLC
Katharine Nevin
Control person · since January 2021
TSW II Capital Advisors’ regulatory assets grew from $428M (March 2021) to $545M (March 2026); clients rose from 4 to 9 and employees from 6 to 7.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $545M | 9 | 7 | 2 |
| Feb 2025February 2025 | $447M | 8 | 8 | 2 |
| Mar 2024March 2024 | $431M | 7 | 8 | 2 |
| Mar 2023March 2023 | $438M | 5 | 8 | 2 |
| Mar 2022March 2022 | $552M | 5 | 7 | 2 |
| Mar 2021March 2021 | $428M | 4 | 6 | 1 |
Besides its headquarters, TSW II Capital Advisors has 1 office, with 2 listed addresses across 2 states.
South Carolina · 1 listed address
- 1640 Meeting Street, Charleston
Tennessee · 1 listed address
- 736 Market Street, Suite 1400, ChattanoogaHQ
Other business names
TSW II Capital Advisors has reported 1 other business name to the SEC.
- TSW II Management Company (Relying Adviser)
Contact and registration details
- Legal name
- TSW II Capital Advisors, LLC
- Headquarters
- 736 Market Street, Suite 1400, Chattanooga, TN 37402
- Website
- tswii.com
- Phone
- 423-267-1430
- SEC file
- 801-73369
- Structure
- Delaware LLC
- Fiscal year end
- December
TSW II Capital Advisors has custody of $25.7M for 1 clients.
How many clients does TSW II Capital Advisors have?
TSW II Capital Advisors has 9 clients and manages $545 million for them, as of March 2026. They include 9 pooled investment vehicles.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 4 March 2026
What services does TSW II Capital Advisors offer?
TSW II Capital Advisors provides portfolio management for pooled vehicles.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does TSW II Capital Advisors have?
TSW II Capital Advisors has 0 investment adviser representatives registered with state securities authorities, out of 7 employees, and 7 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
Who owns TSW II Capital Advisors?
TSW II Capital Advisors’ direct owners are Lafayette Caldwell (75% or more) and Katharine Nevin (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 4 March 2026
How does TSW II Capital Advisors get paid?
TSW II Capital Advisors is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions 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 TSW II Capital Advisors?
TSW II Capital Advisors’ main office is at 736 Market Street, Suite 1400, Chattanooga, TN 37402. Its phone number is 423-267-1430. Its website is tswii.com.