SourcingSourcing

FWG INVESTMENT MANAGEMENT, LLC

C44
CRD 322394·SEC 801-126553·WINTER PARK, FL
AUM
$14.4M
<$25M
Est. Revenue
$144K
@ 1% on AUM
Est. EBITDA
$43K
@ 30% margin
Est. Deal Value
$346K
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
FWG INVESTMENT MANAGEMENT, LLC
CRD
322394
SEC file #
801-126553
EIN
—
DBA names
Fwg Investment Management

Economics

AUM
$14.4M
AUM band
<$25M
AUM trajectory
'25'26
$12.4M → $14.4M▲ +17%
Client mix
Pooled Investment Vehicles1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'23'26
3 advisors → 2 advisors▼ -33%
Primary office
WINTER PARK FL
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LEDFORD HOLDINGS, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
LEDFORD HOLDINGS, LLC
CAPITAL ROCK LLC
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

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
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Charles Schwab9
Fidelity4
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (1)

1
LEDFORD, JOHN, EDWARD
Executive Officer · 2.5%
2960837