SWS PARTNERS, LLC
Latest filing: Mar 28, 2025 (80 days ago)
AUM
$359,732,579
2% change vs. 1 year ago
13% change vs. 3 years ago
70% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
6
20% change vs. 1 year ago
20% change vs. 3 years ago
20% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
COLUMBUS, OH
230 WEST STREET, COLUMBUS, OH, UNITED STATES, 43215
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.4 |
| Non-Discretionary | $0.0 |
| Total | $0.4 |
| Client | AUM |
|---|---|
| Retail | $0.3 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 87 | $0.0 |
| Average Individual AUM | $383,106 | |
| HNW | 74 | $0.3 |
| Average HNW AUM | $4,066,202 | |
| Retail Total | 161 | $0.3 |
| Average Retail AUM | $2,075,958 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.4 |
| Retail SMA AUM | $0.3 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 95% | $0.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 4% | $0.0 |
| Other | 1% | $0.0 |
| Total | 100% | $0.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| SWS ALTERNATIVE MANAGER, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
Representatives
5 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MICHAEL PARKER | COLUMBUS | OH | S63|2002-12-06|S65|2004-09-24 | CHARTERED FINANCIAL ANALYST | |||||
| TAD HERRINGTON | COLUMBUS | OH | S66|2014-06-20 | CERTIFIED FINANCIAL PLANNER | |||||
| JAMES PARKER | COLUMBUS | OH | S66|2005-01-07 | ||||||
| KURT GROVE | COLUMBUS | OH | CHARTERED FINANCIAL ANALYST | ||||||
| PHILIP KESSLER | COLUMBUS | OH | S66|2008-08-28 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $0.4 | $0.0 | 0% | 6 | 0 | 0% |
| 2025-04-21 | $0.4 | $0.0 | 0% | 6 | 0 | 0% |
| 2024-04-02 | $0.4 | $0.0 | 2% | 5 | 1 | 20% |
| 2023-04-04 | $0.3 | $0.0 | 15% | 5 | 1 | 20% |
| 2022-04-01 | $0.3 | $0.0 | 13% | 5 | 1 | 20% |
| 2021-04-05 | $0.3 | $0.1 | 33% | 5 | 1 | 20% |
| 2020-04-01 | $0.2 | $0.1 | 70% | 5 | 1 | 20% |
| 2019-04-01 | $0.2 | $0.2 | 95% | 5 | 1 | 20% |
| 2018-04-02 | $0.2 | $0.2 | 115% | 2 | 4 | 200% |
| 2017-04-01 | $0.1 | $0.2 | 175% | 1 | 5 | 500% |
| 2016-04-01 | $0.1 | $0.3 | 243% | 2 | 4 | 200% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| OH, CA-11/29/2022, FL-11/29/2022, IL-10/11/2023, IN-08/31/2023, OH-01/03/2017, SC-11/29/2022, TX-11/29/2022 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV