SourcingSourcing

TSW II CAPITAL ADVISORS, LLC

C31
CRD 157380·SEC 801-73369·CHATTANOOGA, TN
AUM
$544.5M
$500M-$1B
Est. Revenue
$5.4M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$13.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TSW II CAPITAL ADVISORS, LLC
CRD
157380
SEC file #
801-73369
EIN
000000000
DBA names
—

Economics

AUM
$544.5M
AUM band
$500M-$1B
AUM trajectory
'20'26
$279.8M → $544.5M▲ +95%
Client mix
Pooled Investment Vehicles9

Operations

Employees (total)
7
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'20'26
6 advisors → 7 advisors▲ +17%
Primary office
CHATTANOOGA TN
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/04/2026
ADV-W filed at
—
Website
tsw3ventures.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CALDWELL, LAFAYETTE, HARDWICK
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
CALDWELL, LAFAYETTE, HARDWICK
NEVIN, KATHARINE, CALDWELL
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
TSW3VENTURES.COM
Rdap Domain Creation Date
2023-02-19T19:44:24Z
Rdap Firm Age Years
3
Rdap Firm Age Band
<5y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001320633
Edgar Registered
Yes
Edgar Filing Count
16
Edgar First Filing Date
2005-03-11
Edgar Last Filing Date
2023-03-02
Edgar Form D Count
15
Edgar Form D Offerings
2023-03-022023-03-02 · 0001320633-23-000001
2022-03-172022-03-17 · 0001320633-22-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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
E*trade4
Morgan Stanley3
Interactive Brokers2
Edgar Addresses
Mailing
C/O APPLEBY CORP. SERVICES (CAYMAN) LTD.CLIFTON HOUSE, 75 FORT STREETGRAND CAYMAN, E9 00000
Business
736 MARKET STREET, SUITE 1400CHATTANOOGA, TN 37402
Edgar EIN
000000000
Edgar Recent Filings
D/A2023-03-02 · 0001320633-23-000001
D/A2022-03-17 · 0001320633-22-000001
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-19T19:44:24Z
Rdap Domain Last Changed
2025-12-21T07:21:22Z
Rdap Nameservers
Connect1.squarespacedns.comConnect2.squarespacedns.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1260545
Trust Company Affiliate
No

People (4)

4
CALDWELL, LAFAYETTE, HARDWICK
Direct Owner · 87.5%
1260545
NEVIN, KATHARINE, CALDWELL
Direct Owner · 7.5%
4424118
FEHR, CHRISTOPHER, JAMES
Executive Officer · 2.5%
6023474
FREEMAN, MINDY, LEAH
Executive Officer · 2.5%
6023477