Private fund adviser · New York, NY
SWS Capital Management, LLC
SEC-registered investment adviser · CRD 119043 · SEC 801-61480
At a glance
SWS Capital Management, LLC is an SEC-registered investment adviser based in New York, New York, with $413 million in regulatory assets under management as of its Form ADV filed July 21, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 3,259th of 4,686 private fund advisers and 8,643rd of 17,210 SEC-registered advisers by assets.
Main office 212-461-6500swscapitalmanagement.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $413M
- Rank among private fund advisers
- #3,259 of 4,686
- Rank among all SEC RIAs
- #8,643 of 17,210
- Rank in New York
- #1,592 of 2,591
- Clients
- 7
- Accounts
- 9
- Discretionary
- 86% of AUM
- Employees
- 10
- Advisory staff
- 4
- Offices
- 4
Owners and executives on its Form ADV
- Christopher J. WilliamsChairman & CEO
- Dianne N. CalabrisottoChief Compliance Officer
- William C. ThompsonPresident
Custody and brokerage
Broker-dealer
Hybrid RIA
SWS Capital Management, LLC is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Siebert Williams Shank & Co., LLC.
- Siebert Williams Shank & Co., LLC ↗CRD 42568
Its Form ADV brochure (filed March 2026) names Siebert Williams Shank & Co. as the broker-dealer its advisers are registered with.
Williams , is a registered representative of Siebert Williams Shank & Co., LLC (CRD#: 42568/SEC#: 8 -49877), a registered broker-dealer (“SWS”).
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 2 | $209M | 51% |
| State or municipal government entities | 5 | $178M | 43% |
| Corporations or other businesses | – | $19M | 5% |
| Other | – | $7M | 2% |
Private funds
SWS Capital Management, LLC reports 2 private funds with $197M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
SWS Capital Management, 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
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗swscapitalmanagement.com ↗
AtlasMembers
The full record on SWS Capital Management, 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
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- Growth over one, three and five years
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- Rank against 2,243 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
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does SWS Capital Management, LLC manage?
SWS Capital Management, LLC reports $413 million in regulatory assets under management across 9 accounts, 86% of it on a discretionary basis, on its Form ADV filed July 21, 2026.
What kind of firm is SWS Capital Management, LLC?
SWS Capital Management, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are SWS Capital Management, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($209 million, 2 clients); state or municipal government entities ($178 million, 5 clients); corporations or other businesses ($19 million).
Does SWS Capital Management, LLC manage private funds?
Yes. It reports 2 private funds with $197 million in gross assets, including other private funds.
Does SWS Capital Management, LLC have any disciplinary history?
SWS Capital Management, 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 SWS Capital Management, 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 (2026-07-21), 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 →