Sws Capital Management, Llc
- Regulatory AUM
- $413M
- Discretionary
- $355M
- Clients
- 7
- Avg AUM / client
- $59.0M
- Accounts
- 9
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Jul 21, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 2 | $209M | 50.5% |
| State or municipal government entities | 5 | $178M | 43.1% |
| Corporations and other businesses | Fewer than 5 clients | $18.9M | 4.58% |
| Other | Fewer than 5 clients | $7.3M | 1.77% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of May 2024 · $196M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| New York Social Equity Cannabis Investment Fund, L.P. | Other Private Fund | New York | $99.8M | 2 |
| Clear Vision Impact Fund, Lp | Other Private Fund | Delaware | $96.7M | 10 |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Williams, Christopher, Judson | Chairman & Ceo | Jan 2002 (25y) | Less than 5% | |
| Calabrisotto, Dianne, Nmn | Chief Compliance Officer | Oct 2013 (13y) | Less than 5% | |
| Cisneros, Henry, Gabriel | Vice Chairman | Nov 2019 (7y) | GP / trustee / elected manager of Shank Williams Cisneros, Llc (indirect) | |
| Shank Werdlow, Suzanne, Frances | Super Majority Member | Mar 2021 (5y) | ≈ 14.06% – 50% via Shank Capital Group, Llc |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Shank Williams Cisneros, Llc | Member | Oct 2020 | A | 75% or more |
| Shank Capital Group, Llc | Member | Mar 2021 | B | ≈ 18.75% – 50% via Shank Williams Cisneros, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Shank Werdlow, Suzanne, Frances: 75% – 100% of Shank Capital Group, Llc × 25% – 50% of Shank Williams Cisneros, Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Shank Capital Group, Llc: 25% – 50% of Shank Williams Cisneros, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (2, $196M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| New York Social Equity Cannabis Investment Fund, L.P. | Other Private Fund | $99.8M | $0 | 2 |
| Clear Vision Impact Fund, Lp | Other Private Fund | $96.7M | $0 | 10 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.57 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- BNY Mellon $66.2M (16% of AUM) Mar 2026
- Us Bancorp $66.1M (16% of AUM) Mar 2026
- Umb Bank $63.6M (15% of AUM) Mar 2026
- U.S. Bank $2.5M (3% of AUM) Mar 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 21, 2026.
View current Form ADV (SEC/IAPD) ↗