{"url":"https://nivawealth.com/firms/tsw-ii-capital-advisors-157380","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/157380","regulatoryAum":544500000,"crd":"157380","history":[{"filedOn":"2021-03-25","regulatoryAum":427500000,"clients":4,"employees":6,"offices":1},{"filedOn":"2022-03-22","regulatoryAum":552000000,"clients":5,"employees":7,"offices":2},{"filedOn":"2023-03-30","regulatoryAum":438100000,"clients":5,"employees":8,"offices":2},{"filedOn":"2024-03-21","regulatoryAum":430900000,"clients":7,"employees":8,"offices":2},{"filedOn":"2025-02-28","regulatoryAum":446500000,"clients":8,"employees":8,"offices":2},{"filedOn":"2026-03-04","regulatoryAum":544500000,"clients":9,"employees":7,"offices":2}],"secFileNumber":"801-73369","legalName":"TSW II Capital Advisors, LLC","displayName":"TSW II Capital Advisors","slug":"tsw-ii-capital-advisors-157380","website":"https://tswii.com/","classification":{"segment":"private_funds","segmentLabel":"Private funds","type":"private_fund_manager","typeLabel":null,"feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"736 Market Street, Suite 1400","city":"Chattanooga","state":"TN","stateName":"Tennessee","country":"United States","postalCode":"37402"},"tradeNames":["TSW II Management Company (Relying Adviser)"],"registration":{"secApproved":"21 March 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":7,"advisory":7,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":544500000,"discretionary":544500000,"discretionaryAccounts":9,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":11,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":9,"regulatoryAum":544500000}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"TSW II Capital Advisors has custody of $25.7M in client assets for 1 client.","otherCustodians":[],"leadership":[{"name":"Katharine Nevin","title":"President/Portfolio Manager","crd":"4424118"},{"name":"Mindy Freeman","title":"Chief Financial Officer","crd":"6023477"},{"name":"Christopher Fehr","title":"Chief Operating Officer/Chief Compliance Officer","crd":"6023474"},{"name":"Lafayette Caldwell","title":"Chairman","crd":"1260545"}],"ownership":[{"label":"Lafayette Caldwell","detail":"Chairman in the 75% or more ownership band and a control person, since January 2021."},{"label":"Katharine Nevin","detail":"President/portfolio manager in the 5% to 10% ownership band and a control person, since January 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"South Carolina","offices":1,"addresses":[{"street":"1640 Meeting Street","city":"Charleston"}]},{"state":"Tennessee","offices":1,"addresses":[{"street":"736 Market Street, Suite 1400","city":"Chattanooga","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"423-267-1430","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":9},"sources":{"adv1FilingDate":"4 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/157380/PDF/157380.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 TSW II Capital Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does TSW II Capital Advisors offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does TSW II Capital Advisors have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns TSW II Capital Advisors?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does TSW II Capital Advisors get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact TSW II Capital Advisors?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 4 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."}