SourcingSourcing

REDSWAN PC, INC

B51
CRD 307278·SEC 801-118188·HOUSTON, TX
AUM
$165.3M
$100M-$500M
Est. Revenue
$1.7M
@ 1% on AUM
Est. EBITDA
$496K
@ 30% margin
Est. Deal Value
$4.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
REDSWAN PC, INC
CRD
307278
SEC file #
801-118188
EIN
825467523
DBA names
Red Swan Private Client

Economics

AUM
$165.3M
AUM band
$100M-$500M
AUM trajectory
'22'26
$188.2M → $165.3M▼ -12%
Client mix
Corporations7

Operations

Employees (total)
8
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'21'26
3 advisors → 2 advisors▼ -33%
Primary office
HOUSTON TX
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMOther Compensation

Filings

Latest ADV filing
03/04/2026
ADV-W filed at
—
Website
twitter.com/redswancre(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
Nwokedi, Edward, Ikem
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
Nwokedi, Edward, Ikem
Chiosa, Cyril
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
social_url_excluded:twitter.com

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001833027
Edgar Registered
Yes
Edgar Filing Count
9
Edgar First Filing Date
2020-11-20
Edgar Last Filing Date
2024-05-13
Edgar Form D Count
2
Edgar Form D Offerings
2024-05-132024-05-13 · 0001833027-24-000003
2020-11-202020-11-20 · 0001833027-20-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
3
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
4201 MAIN STREETSUITE 300HOUSTON, TX 77002
Business
8121 BROADWAY, SUITE 301HOUSTON, TX 77061
Edgar EIN
825467523
Edgar Recent Filings
D2024-05-13 · 0001833027-24-000003
C-AR2024-04-26 · 0001833027-24-000001
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
7227227
Trust Company Affiliate
No

People (5)

5
Nwokedi, Edward, Ikem
IAR · Direct Owner · 87.5%
7227227
Chiosa, Cyril
Direct Owner · 7.5%
7227228
CHARLES SMULEVITZ
Executive Officer · 2.5%
5099387
Martha Lynn Theus
IAR
7703122
Adam Doerr
IAR
7371233