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Broker-dealer firm · Knoxville, TN

CW Securities, LLC

SEC-registered investment adviser · CRD 124496 · SEC 801-135859

At a glance

CW Securities, LLC is an SEC-registered investment adviser based in Knoxville, Tennessee, with $113 million in regulatory assets under management as of its Form ADV filed September 9, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 145 individual clients. By Form ADV it is a broker-dealer firm, ranked 330th of 391 broker-dealer firms and 14,975th of 17,210 SEC-registered advisers by assets.

Main office 865-690-9886As filed on Form ADV

Regulatory AUM
$113M
Rank among broker-dealer firms
#330 of 391
Rank among all SEC RIAs
#14,975 of 17,210
Rank in Tennessee
#201 of 227
Individual clients
145
High-net-worth clients
109
Accounts
145
Discretionary
100% of AUM
Employees
3
Advisory staff
1
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

2 custodians

  1. Charles Schwab$78M>99%
  2. Capital Client Group$1M<1%

Other RIAs using Charles SchwabOther multi-custodian RIAs

Broker-dealer

Hybrid RIA

CW Securities, LLC is a hybrid RIA: 3 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: CW Securities, LLC.

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
High-net-worth individuals109$107M95%
Individuals36$6M5%

Disciplinary disclosures

CW Securities, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Financial planning
  • Portfolio management for individuals and small businesses
  • Portfolio management for businesses and institutions
  • Pension consulting

How it’s paid

  • A percentage of assets under management
  • Hourly charges
  • Fixed fees

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on CW Securities, LLC

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 1 years of filings
Locked
Growth over one, three and five years
Locked
Rank against 113 peers of its type and size
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Owners and executives, with titles and stakes
3 namedLocked
Main office, fax and compliance officer
Locked
Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does CW Securities, LLC manage?

CW Securities, LLC reports $113 million in regulatory assets under management across 145 accounts, 100% of it on a discretionary basis, on its Form ADV filed September 9, 2026.

What kind of firm is CW Securities, LLC?

CW Securities, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.

Who are CW Securities, LLC’s clients?

By assets, its largest client types are high-net-worth individuals ($107 million, 109 clients); individuals ($6 million, 36 clients).

Does CW Securities, LLC have any disciplinary history?

CW Securities, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is CW Securities, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-09), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →