Sws Partners, Llc
- Regulatory AUM
- $443M
- Discretionary
- $443M
- Clients
- 157
- Avg AUM / client
- $2.8M
- Accounts
- 519
- Employees
- 6
AUM over time
Annual snapshots from Form ADV filings · as of Jul 14, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 60 | $25.7M | 5.8% |
| High net worth individuals | 89 | $373M | 84.3% |
| Pooled investment vehicles (non-investment companies) | 6 | $10.8M | 2.45% |
| Corporations and other businesses | 2 | $33.0M | 7.46% |
Private funds (5)
Reported in Form ADV Section 7.B.(1), filing of Oct 2024 · $9.2M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Sws Alternative Fund I | Private Equity Fund | Ohio | $2.4M | 7 |
| Sws Alternative Investment Fund Ii | Private Equity Fund | Ohio | $2.4M | 9 |
| Sws Alternative Investment Fund V Llc | Hedge Fund | Ohio | $1.9M | 5 |
| Sws Alternative Investment Fund Iii | Real Estate Fund | Ohio | $1.8M | 7 |
| Sws Alternative Investment Fund Iv | Hedge Fund | Ohio | $817K | 5 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Franklin Parker | Managing Partner | Nov 2015 (11y) | ≈ 37.5% – 75% via Kessler Wealth Advisors Llc | |
| Philip Eugene Kessler | Managing Partner | Nov 2015 (11y) | ≈ 37.5% – 75% via Kessler Wealth Advisors Llc | |
| Prieur, Kristin, Lynne | Chief Compliance Officer | Apr 2024 (2y) | Less than 5% | |
| Kurt Scott Grove | Registered representative | CFA | May 2022 (4y) | |
| Michael Thomas Parker | Registered representative | CFA | May 2022 (4y) | |
| Kevin Joseph Kale | Registered representative | Feb 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Kessler Wealth Advisors Llc | Managing Member | Jan 2021 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- James Franklin Parker: 50% – 75% of Kessler Wealth Advisors Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Philip Eugene Kessler: 50% – 75% of Kessler Wealth Advisors Llc × 75% – 100% direct ≈ 37.5% – 75% 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 (5, $9.2M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Sws Alternative Fund I | Private Equity Fund | $2.4M | $250K | 7 |
| Sws Alternative Investment Fund Ii | Private Equity Fund | $2.4M | $250K | 9 |
| Sws Alternative Investment Fund V Llc | Hedge Fund | $1.9M | $250K | 5 |
| Sws Alternative Investment Fund Iii | Real Estate Fund | $1.8M | $250K | 7 |
| Sws Alternative Investment Fund Iv | Hedge Fund | $817K | $250K | 5 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/14/2026 | 2.84 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
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $414M (94% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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 14, 2026.
View current Form ADV (SEC/IAPD) ↗