CW
Clayton, Williams & Sherwood Investments
State-registered
Broker-Dealer (Dually Registered)
CRD 23551
· Newport Beach, CA
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ADV data as of Feb 13, 2026
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- —
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 27
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | — | — |
| High net worth individuals | Fewer than 5 clients | — | — |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Pension and profit sharing plans | Fewer than 5 clients | — | — |
| Charitable organizations | Fewer than 5 clients | — | — |
| State or municipal government entities | Fewer than 5 clients | — | — |
| Other investment advisers | Fewer than 5 clients | — | — |
| Insurance companies | Fewer than 5 clients | — | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | — | — |
| Corporations and other businesses | Fewer than 5 clients | — | — |
People (12)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Gary Charles Carmell | Registered representative | CFA | Aug 2013 (13y) | |
| Marcus James Lam | Registered representative | Aug 2013 (13y) | ||
| Mark Ryan Ruggles | Registered representative | Aug 2013 (13y) | ||
| Michael James Brittingham | Registered representative | Apr 2016 (10y) | ||
| Patrick Thomas Kendall | Registered representative | Mar 2019 (8y) | ||
| Justin Patrick Leahy | Registered representative | Jun 2022 (4y) | ||
| Michael Elmer Engels | Registered representative | Jun 2022 (4y) | ||
| John Bertrand Manley | Registered representative | May 2024 (2y) | ||
| Steven Jay Sherwood | Registered representative | Jan 2025 (2y) | ||
| James J Morrison | Registered representative | Apr 2025 (1y) | ||
| Leico Lemus | Registered representative | Apr 2025 (1y) | ||
| Ty Goode | Registered representative | Dec 2025 (1y) |
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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/13/2026 | 1.73 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Other fees
- • REIMBURSED EXPENSES
Services
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 13, 2026.
View current Form ADV (SEC/IAPD) ↗