SourcingSourcing

RSW INVESTMENTS HOLDINGS, LLC

B59
CRD 302023·SEC 801-115302·SUMMIT, NJ
AUM
$2.30B
$1B+
Est. Revenue
$23.0M
@ 1% on AUM
Est. EBITDA
$6.9M
@ 30% margin
Est. Deal Value
$55.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
RSW INVESTMENTS HOLDINGS, LLC
CRD
302023
SEC file #
801-115302
EIN
—
DBA names
Rsw Investments

Economics

AUM
$2.30B
AUM band
$1B+
AUM trajectory
'20'26
$2.30B → $2.30B▬ 0%
Client mix
Individuals High Net Worth882
Individuals Other530

Operations

Employees (total)
10
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
6 advisors → 6 advisors▬ 0%
Primary office
SUMMIT NJ
Branches
—

Custodian & Brokerage

Primary custodian
Morgan Stanleylow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/05/2026
ADV-W filed at
—
Website
linkedin.com/company/rsw-investments(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RESOLUTE INVESTMENT MANAGERS, INC.
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
RESOLUTE INVESTMENT MANAGERS, INC.
WAAS, ROBERT, STEVEN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

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
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Morgan Stanley6
Wells Fargo4
E*trade4
Raymond James2
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (5)

5
WAAS, ROBERT, STEVEN
IAR · Direct Owner · 37.5%
1278249
WERNER, MATTHEW, TAYLOR
IAR · Direct Owner · 7.5%
5649837
Harris, Rebecca, Lynn
Executive Officer · 2.5%
5255524
STUMM, GREGORY, JOHN
Executive Officer · 2.5%
4730753
SEARS, CHRISTINA, ELAINE
Executive Officer · 2.5%
2708589