SWS CAPITAL MANAGEMENT, LLC other names

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Adviser Profile

As of Date:

05/23/2024

Adviser Type:

- Large advisory firm

Number of Employees:

9 -10.00%

of those in investment advisory functions:

3 -25.00%

Registration:

New York, Terminated, 10/21/2002

Other registrations (1)
AUM:

498,020,898 128.05%

of that, discretionary:

459,923,254 110.60%

Private Fund GAV:

196,495,488 415.77%

Avg Account Size:

62,252,612 42.53%

SMA’s:

YES

Private Funds:

2 1

Contact Info

212 xxxxxxx

Websites :
Client Types:

+

Advisory Activities:

+

Compensation Arrangments:

+

Reported AUM

Discretionary
Non-discretionary
218M 187M 156M 125M 94M 62M 31M
2015 2016 2017 2018 2019 2020 2021 2022 2023

Recent News

Eddie Ong emerges as largest shareholder of Complete Logistic
03/09/2021

Notably, Ong is also a major shareholder of listed companies such as Hextar Global Bhd, SCH Group Bhd, Rubberex Corp (M) Bhd, SWS Capital Bhd and more recently Opcom Holdings Bhd. Meanwhile ...

MSN

Complete Logistics appoints Teh Li King as new board member
03/08/2021

He is also a director at furniture and plasticware maker SWS Capital Bhd, the non-independent non-executive director of Opcom and is concurrently serving as director of several private limited ...

MSN

Chin Hin Group Property Bhd
03/03/2021

Beng Teik Chiau, 57 Non-Independent Non-Executive Chairman Pintar Muda Development Sdn. Bhd., GA Hotel Management Sdn. Bhd., Chin Hin Gypsum Sdn. Bhd., Primore Sdn ...

Wall Street Journal


Private Funds Structure

Fund Type Count GAV
Other Private Fund 2 $196,495,488

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Private Funds



Employees




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.