SourcingSourcing

SWS CAPITAL MANAGEMENT, LLC

C38
CRD 119043·SEC 801-61480·NEW YORK, NY
AUM
$413.1M
$100M-$500M
Est. Revenue
$4.1M
@ 1% on AUM
Est. EBITDA
$1.2M
@ 30% margin
Est. Deal Value
$9.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SWS CAPITAL MANAGEMENT, LLC
CRD
119043
SEC file #
801-61480
EIN
861928774
DBA names
—

Economics

AUM
$413.1M
AUM band
$100M-$500M
AUM trajectory
'20'26
$91.9M → $413.1M▲ +349%
Client mix
State Or Municipal Govt5
Pooled Investment Vehicles2

Operations

Employees (total)
10
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
1 advisors → 4 advisors▲ +300%
Primary office
NEW YORK NY
Branches
—

Custodian & Brokerage

Primary custodian
State Streetlow confidence
Services offered
Portfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
linkedin.com/company/sws-capital-management(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHANK WILLIAMS CISNEROS, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
SHANK WILLIAMS CISNEROS, LLC
CALABRISOTTO, DIANNE, NMN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001852850
Edgar Registered
Yes
Edgar Filing Count
1
Edgar First Filing Date
2021-03-26
Edgar Last Filing Date
2021-03-26
Edgar Form D Count
1
Edgar Form D Offerings
2021-03-262021-03-26 · 0001852850-21-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
State Street4
E*trade4
U.s. Bank2
Bny Mellon2
Edgar Addresses
Mailing
100 WALL STREET18TH FLOORNEW YORK, NY 10005
Business
100 WALL STREET18TH FLOORNEW YORK, NY 10005
Edgar EIN
861928774
Edgar Recent Filings
D2021-03-26 · 0001852850-21-000002
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (3)

3
DIANNE NMN CALABRISOTTO
Executive Officer · 2.5%
1273900
WILLIAM COLRIDGE THOMPSON
Executive Officer · 2.5%
2316101
CHRISTOPHER JUDSON WILLIAMS
Executive Officer · 2.5%
1335377