SEC-Registered Investment Adviser
Sws Capital Management, LLC
Registration facts are from the firm's Form ADV Part 1A as published by the SEC, latest filing dated July 21, 2026. Figures are firm-level: they describe the advisory firm, not any single offering.
Registration
- Status
- Approved
- Registered since
- September 20, 2002
- Principal office
- 100 Wall Street, 18th Floor, New York, NY 10005
- Organized as
- Limited Liability Company, DE
- Fiscal year end
- December
- Umbrella registration
- Yes, 1 relying adviser
- Other offices
- 3
Scale
- Regulatory AUM
- $413.1M
- Discretionary / non-discretionary
- $355.0M / $58.0M
- Accounts
- 9
- Clients
- 1
- Employees
- 10, 4 in advisory roles
- Private funds advised
- 2
- Private fund gross assets
- $197.1M
- Fund types
- 2 other private funds
- Funds with Form D records
- 1 issuer in AltStreet's ledger, $15.0M reported sold across them
Business, clients and compensation, as filed
- Advisory activities
- portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients
- Compensated by
- a percentage of assets under management
- Client types
- pooled investment vehicles (2); state or municipal government entities (5); corporations or other businesses; other
- Related persons include
- a broker-dealer, a registered municipal advisor and a sponsor, general partner or managing member of pooled investment vehicles
- Affiliates
- 1 broker-dealer
Form ADV Item 11 disclosures
No yes answers on Item 11 as of the latest Form ADV (July 21, 2026). Item 11 covers the firm and its advisory affiliates.
Form D activity of the funds this firm advises, by year
1 issuer in AltStreet's EDGAR ledger are joined to this adviser through Form ADV Schedule D, with Form D filings from January 18, 2023 to January 18, 2023. Reported sold across them: $15.0M.Years are the year of each offering's first notice; sold and investors are the latest figures on each chain. Counts and totals only; the fund roster is in the terminal.
| First notice | Offerings | Reported sold | Investors |
|---|---|---|---|
| 2023 | 1 | $15.0M | 1 |
Is this your firm? Verified Profiles give managers a structured channel for corrections, additional disclosures, and right of reply, without changing AltStreet's independent research. Learn about verification →
Source: SEC Form ADV via IARD (roster of October 6, 2026), matched to the platform by AltStreet analysts. Item 11 answers are as reported on the firm's Form ADV and cover the firm and its advisory affiliates; consult the firm's IAPD record for the Disclosure Reporting Pages. Brochure statements are the firm's own. Nothing on this page is investment advice.