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SWEETWATER PRIVATE EQUITY

ENCINITAS, CA · CRD 297613 · IAPD ↗ · 760-652-6353

$1.58BRegulatory AUM
11Advisory reps
20Employees
0Clients
n/aPlanning clients
11Private funds
1States
1Disclosures
fundSegment
ApprovedSEC status

Filing changes

40
April 2026 — SWEETWATER PRIVATE EQUITY's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
April 2026 — SWEETWATER PRIVATE EQUITY shrank from 14 to 11 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2025 — SWEETWATER PRIVATE EQUITY now reports custody of client assets ($1.29B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
58
April 2025 — SWEETWATER PRIVATE EQUITY grew from 11 to 14 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
April 2024 — SWEETWATER PRIVATE EQUITY added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
59
April 2024 — SWEETWATER PRIVATE EQUITY grew from 7 to 11 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
70
April 2024 — SWEETWATER PRIVATE EQUITY crossed $1B in regulatory AUM ($823.9M -> $1.14B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting

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