Thursday, October 22, 2026The Morning EditionOpen AtlasSign inJoin free
FinancialADVSR

Est. 2026The front page of wealth managementNew York

The Morning EditionFree · 6:30 AM ETSubscribe
RB An Amazon intern in 2020, Nevis CEO Mark Swan is the unlikely dream weaver for Focus Financial and other big RIA rollups with 'nightmare' integration issues -- with help from Schwab, Fidelity, OpenAI and AnthropicIN SpaceX’s AI segment now drives more than half its revenue. Here’s what advisors should watch nextFP Why AI might recommend your competitor instead of youFP Why clients are choosing phased retirement — and what advisors should know4K SPARK Forum Offering Scholarships for Retirement Plan AdvisorsFP What Schwab's new ETF platform fees mean for clients, advisorsWM RIA Platform Leaders Ask ‘What’s the Advantage in Having Your Own Form ADV?’IN Fake e-vite phishing scams put high-net-worth clients at riskRB Rick Wurster says Schwab is tackling its forced rationing of long/short SMAs with proprietary 'offering' to stretch balance sheet, but it may be more about a fee upside, a long/short manager saysIN Fintech bytes: 55ip, Vise, Syntax push tax-smart tools for RIAs

Private fund adviser · Folly Beach, SC

Ground Swell Capital, LLC

SEC-registered investment adviser · CRD 159812 · SEC 801-73582

At a glance

Ground Swell Capital, LLC is an SEC-registered investment adviser based in Folly Beach, South Carolina, with $949 million in regulatory assets under management as of its Form ADV filed March 11, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 2,364th of 4,686 private fund advisers and 5,530th of 17,210 SEC-registered advisers by assets.

Main office 843-588-5169As filed on Form ADV

Regulatory AUM
$949M
Rank among private fund advisers
#2,364 of 4,686
Rank among all SEC RIAs
#5,530 of 17,210
Rank in South Carolina
#20 of 116
Clients
2
Accounts
2
Discretionary
100% of AUM
Employees
10
Advisory staff
5
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Ground Swell Capital, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

No broker-dealer ties

Other RIAs with no broker-dealer ties

Who it serves

Client typeClientsRegulatory AUMShare
Pooled investment vehicles2$949M100%

Private funds

Ground Swell Capital, LLC reports 2 private funds with $949M in gross assets: hedge funds (Form ADV Item 7.B).

Disciplinary disclosures

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

Services

  • Portfolio management for pooled investment vehicles

How it’s paid

  • A percentage of assets under management
  • Performance-based fees
  • Other

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

AtlasMembers

The full record on Ground Swell Capital, 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, ten years of filings
Locked
Growth over one, three and five years
Locked
Rank against 2,186 peers of its type and size
Locked
Owners and executives, with titles and stakes
6 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 Ground Swell Capital, LLC manage?

Ground Swell Capital, LLC reports $949 million in regulatory assets under management across 2 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 11, 2026.

What kind of firm is Ground Swell Capital, LLC?

Ground Swell Capital, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.

Who are Ground Swell Capital, LLC’s clients?

By assets, its largest client types are pooled investment vehicles ($949 million, 2 clients).

Does Ground Swell Capital, LLC manage private funds?

Yes. It reports 2 private funds with $949 million in gross assets, including hedge funds.

Does Ground Swell Capital, LLC have any disciplinary history?

Ground Swell Capital, 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 Ground Swell Capital, 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 (2026-03-11), 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 →