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SWS CAPITAL MANAGEMENT, LLC

NEW YORK, NY · CRD 119043 · IAPD ↗ · 212-461-6500

$413.1MRegulatory AUM
4Advisory reps
10Employees
1Clients
0Planning clients
2Private funds
1States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

38
August 2026 — SWS CAPITAL MANAGEMENT, LLC added office(s): 1 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
58
April 2024 — SWS CAPITAL MANAGEMENT, LLC reported RAUM up 128% ($218.4M -> $498.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.