9AT: SWS CAPITAL MANAGEMENT, LLC

other names

SWS CAPITAL MANAGEMENT, LLC
SWS CAPITAL MANAGEMENT
WILLIAMS CAPITAL MANAGEMENT, LLC

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 09/20/2002
Other registrations (1)	New York, Terminated, 10/21/2002
ADV Location	NEW YORK, NY, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	413,094,749 -17%
of that, discretionary	355,049,427 -23%
Number of Employees	10 11%
of those in investment advisory functions	4 33%
Private Fund GAV^*	197,129,589 0%
Avg Account Size	45,899,417 -26%
SMA’s	Yes
Private Funds	2

Adviser Type

- Large advisory firm

Client Types

- Pooled investment vehicles
- State or municipal government entities
- Corporations or other businesses not listed above
- Other

Advisory Activities

- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

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Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser TRADEMARK CAPITAL MANAGEMENT INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund467.4k	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund16.5m	Total Private Fund GAV16.9m	AUM150.8m	#Funds2
Adviser PRESERVER PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund168.3m	Total Private Fund GAV168.3m	AUM175.7m	#Funds1
Adviser CHANGE GLOBAL INVESTMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund144.0m	Total Private Fund GAV144.0m	AUM226.0m	#Funds3
Adviser KENORA FINANCIAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund82.4m	Total Private Fund GAV82.4m	AUM315.8m	#Funds1
Adviser BRICKELL KEY ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM119.9m	#Funds1
Adviser PAN GLOBAL ADVISERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund18.7m	Total Private Fund GAV18.7m	AUM270.5m	#Funds1
Adviser FORSYTH STREET ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund228.9m	Total Private Fund GAV228.9m	AUM228.9m	#Funds4
Adviser ILLUMEN CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund544.9m	Total Private Fund GAV544.9m	AUM294.9m	#Funds7
Adviser US INFRAVEST MANAGERS LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund124.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV124.6m	AUM124.6m	#Funds2
Adviser ARIS MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.1b	#Funds1

Brochure Summary

Overview

SWS Capital Management, LLC (“SWSCM” or the “Adviser”) is a Delaware limited liability company formed in December 2001. SWSCM’ registration with the United States Securities and Exchange Commission (the “SEC”) became effective in September 2002. SWSCM is a wholly owned subsidiary of Shank Williams Cisneros, LLC. Shank Capital Group, LLC is a member of Shank Williams Cisneros, LLC. Suzanne Shank-Werdlow is a super majority member of Shank Capital Group, LLC. Christopher J. Williams is SWSCM’ Chief Executive Officer (“CEO”). SWSCM focuses primarily on cash management and fixed-income strategies. The Adviser provides discretionary fixed-income advisory services for institutional investors through separate accounts. The separate accounts include cash strategies and fixed income portfolios. The portfolios are benchmarked against government and corporate indexes. The funds in each account are managed according to the client’s guidelines. Separate account clients may impose restrictions on investing in certain securities or types of securities. SWSCM also serves as the investment manager of two private funds, Clear Vision Impact Fund, LP (“Clear Vision”) and New York Social Equity Cannabis Investment Fund, L.P. (“NYSECIF”). Each a “Fund” and together the “Funds.” Clear Vision is a Delaware limited partnership. Clear Vision makes investments in sustainable

minority-owned businesses, businesses that operate in or serve underserved markets, and businesses that foster inclusive growth through commercially sustainable business models. Clear Vision’s investment strategy consists of originating loans to small and medium-sized businesses, investing in equity capital issued in connection with debt investments where appropriate, and providing strategic advice where appropriate to enhance operational performance of portfolio companies. NYSECIF is a New York limited partnership formed in cooperation and coordination with the Dormitory Authority of the State of New York (“DASNY”) for the purpose, among other things, of financing the initial build-out of storefront conditional adult-use retail dispensaries in New York State. DASNY and NYSECIF’s general partner are the only limited partners of the Fund. In addition, SWSCM also provides fixed-income investment management services to a third- party investment adviser. SWSCM does not have any regulatory assets under management attributable to this client. Overall, the Adviser is flexible and willing to tailor its service to client needs within fixed income asset management. SWSCM does not participate in wrap fee programs. As of December 31, 2023, SWSCM managed approximately $459M on a discretionary basis and $38M on a non-discretionary basis.

SWS CAPITAL MANAGEMENT, LLC

Adviser Profile

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