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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

RSW INVESTMENTS

RSW INVESTMENTS HOLDINGS, LLC, CRD 302023

SUMMIT, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:04623c79-c730-97a2-d17c-b59eb538c36e

Data as of Mar 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 6
On other graphs: 0
Observed: Apr 17, 2019 to Mar 5, 2026
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0 bank_owner=false
Regulatory AUM: $2.3BItem 5.F on the latest filing (2026-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.3B
Private client RAUM: $2.3BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $1.1Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,632
Individual clients: 530
High net worth clients: 882
SEC number: 801-115302
CRD: 302023
Filings on the tape: 15
First filed: Apr 17, 2019
Latest filed: Mar 5, 2026
Organised: Limited Liability Company, DE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROBERT STEVEN WAAS	n/a	SUMMIT, NJ	7	23	1	no
MATTHEW TAYLOR WERNER	Chartered Financial Analyst	SUMMIT, NJ	7	21	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Harris, Rebecca, Lynn	Director	Na	yes	04/2022	Mar 5, 2026	Mar 5, 2026
RESOLUTE INVESTMENT MANAGERS, INC.	SHAREHOLDER OFFICER	D	yes	04/2019	Mar 5, 2026	Mar 5, 2026
STUMM, GREGORY, JOHN	Director	Na	yes	05/2024	Mar 5, 2026	Mar 5, 2026
RESOLUTE ACQUISITION, INC.	Shareholder	E	yes	04/2015	Apr 17, 2019	May 7, 2024
RESOLUTE TOPCO, INC.	Shareholder	E	yes	04/2015	Apr 17, 2019	May 7, 2024
WAAS, ROBERT, STEVEN	CEO/CIO/DIRECTOR	C	yes	01/2005	Apr 17, 2019	May 7, 2024
WERNER, MATTHEW, TAYLOR	MEMBER/DIRECTOR	A	yes	02/2009	Apr 17, 2019	May 7, 2024
SEARS, CHRISTINA, ELAINE	CHIEF COMPLIANCE OFFICER	Na	no	07/2019	Jul 1, 2019	May 7, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
AMERICAN BEACON ADVISORS, INC.	n/a	Other adviser	$60B	N	yes	n/a
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC	n/a	Institutional manager	$16B	N	yes	n/a
SSI INVESTMENT MANAGEMENT LLC	n/a	Mixed wealth	$2.6B	N	yes	n/a
SHAPIRO CAPITAL MANAGEMENT LLC	n/a	Mixed wealth	$2.0B	N	yes	n/a
AMERICAN PRIVATE EQUITY MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
RESOLUTE INVESTMENT DISTRIBUTORS, INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 5, 2026	$2.3B	$2.3B	10	6	n/a	n/a
2024	Feb 27, 2025	$2.4B	$2.4B	10	6	n/a	n/a
2023	Mar 5, 2024	$2.3B	$2.3B	10	6	n/a	n/a
2022	Mar 3, 2023	$2.1B	$2.1B	10	6	n/a	n/a
2021	Mar 3, 2022	$2.4B	$2.4B	10	6	n/a	n/a
2020	Mar 10, 2021	$2.3B	$2.3B	10	6	n/a	n/a
2019	Mar 6, 2020	$2.3B	$2.3B	10	6	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.3B	$2.4B	-2.9%	$2.1B	2.4%	10	10	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RSW INVESTMENTS, LLC	2	May 22, 2019	May 28, 2019	SUMMIT, NJ	Channel change	RIA to RIA	100.0%

Relationships

Affiliated with (10)

← SHAPIRO CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← NATIONAL INVESTMENT SERVICES OF AMERICA, LLCRegistered adviserother investment adviser, common control
factForm ADV
← SSI INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
← AMERICAN BEACON ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ SSI INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ AMERICAN BEACON ADVISORS, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ SHAPIRO CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ NATIONAL INVESTMENT SERVICES OF AMERICA, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← CONTINUOUS CAPITAL, LLCRegistered adviserother investment adviser, common control
factForm ADV
← ALPHA QUANT ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (2)

← MATTHEW TAYLOR WERNERAdvisorregistration: current employment
May 28, 2019 to presentfactForm ADV
← ROBERT STEVEN WAASAdvisorregistration: current employment
May 22, 2019 to presentfactForm ADV

Controls (7)

← WAAS, ROBERT, STEVENOwnerCEO/CIO/DIRECTOR, ownership code C, individual
Apr 17, 2019 to May 7, 2024factForm ADV
← STUMM, GREGORY, JOHNOwnerDIRECTOR, ownership code NA, individual
May 7, 2024 to May 7, 2024factForm ADV
← Harris, Rebecca, LynnOwnerDIRECTOR, ownership code NA, individual
May 12, 2022 to May 7, 2024factForm ADV
← WERNER, MATTHEW, TAYLOROwnerMEMBER/DIRECTOR, ownership code A, individual
Apr 17, 2019 to May 7, 2024factForm ADV
← RESOLUTE ACQUISITION, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Apr 17, 2019 to May 7, 2024factForm ADV
← RESOLUTE INVESTMENT MANAGERS, INC.OwnerSHAREHOLDER, ownership code D, domestic entity
Apr 17, 2019 to May 7, 2024factForm ADV
← RESOLUTE TOPCO, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Apr 17, 2019 to May 7, 2024factForm ADV

Owns (1)

← SEARS, CHRISTINA, ELAINEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 1, 2019 to May 7, 2024factForm ADV

Moved with (1)

← RSW INVESTMENTS, LLCRegistered adviser2 advisors, team lift out, same day
May 22, 2019 to May 28, 2019factForm ADV

Dated events

Occurred
May 7, 2024
Control person left
Karl Jeffrey Ringdahl (Director) no longer on Schedule A of Rsw Investments (listed 2024-03-05, absent 2024-05-07)
Form ADVobserved 4 days ago
Occurred
May 7, 2024
Control person joined
John Gregory Stumm (Director) appeared on Schedule A of Rsw Investments
Form ADVobserved 4 days ago
Occurred
May 12, 2022
Control person joined
Lynn Rebecca Harris (Director) appeared on Schedule A of Rsw Investments
Form ADVobserved 4 days ago
Occurred
May 12, 2022
Control person left
Louis Gene Needles (Director) no longer on Schedule A of Rsw Investments (listed 2022-03-03, absent 2022-05-12)
Form ADVobserved 4 days ago
Occurred
Apr 17, 2019
Succession filed (Item 4)
Rsw Investments reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Apr 17, 2019
First Form ADV filing
Rsw Investments filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04623c79-c730-97a2-d17c-b59eb538c36e
First observed: Apr 17, 2019
Last observed: Mar 5, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

RSW INVESTMENTS

RSW INVESTMENTS HOLDINGS, LLC, CRD 302023

SUMMIT, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:04623c79-c730-97a2-d17c-b59eb538c36e

Data as of Mar 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:50 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROBERT STEVEN WAAS

n/a

SUMMIT, NJ

MATTHEW TAYLOR WERNER

Chartered Financial Analyst

SUMMIT, NJ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Harris, Rebecca, Lynn

Director

yes

04/2022

Mar 5, 2026

RESOLUTE INVESTMENT MANAGERS, INC.

SHAREHOLDER OFFICER

yes

04/2019

Mar 5, 2026

STUMM, GREGORY, JOHN

Director

yes

05/2024

Mar 5, 2026

RESOLUTE ACQUISITION, INC.

Shareholder

yes

04/2015

Apr 17, 2019

May 7, 2024

RESOLUTE TOPCO, INC.

Shareholder

yes

04/2015

Apr 17, 2019

May 7, 2024

WAAS, ROBERT, STEVEN

CEO/CIO/DIRECTOR

yes

01/2005

Apr 17, 2019

May 7, 2024

WERNER, MATTHEW, TAYLOR

MEMBER/DIRECTOR

yes

02/2009

Apr 17, 2019

May 7, 2024

SEARS, CHRISTINA, ELAINE

CHIEF COMPLIANCE OFFICER

07/2019

Jul 1, 2019

May 7, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AMERICAN BEACON ADVISORS, INC.

n/a

Other adviser

$60B

yes

n/a

NATIONAL INVESTMENT SERVICES OF AMERICA, LLC

n/a

Institutional manager

$16B

yes

n/a

SSI INVESTMENT MANAGEMENT LLC

n/a

Mixed wealth

$2.6B

yes

n/a

SHAPIRO CAPITAL MANAGEMENT LLC

n/a

Mixed wealth

$2.0B

yes

n/a

AMERICAN PRIVATE EQUITY MANAGEMENT LLC

n/a

yes

n/a

RESOLUTE INVESTMENT DISTRIBUTORS, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 5, 2026

$2.3B

n/a

2024

Feb 27, 2025

$2.4B

n/a

2023

Mar 5, 2024

$2.3B

n/a

2022

Mar 3, 2023

$2.1B

n/a

2021

Mar 3, 2022

$2.4B

n/a

2020

Mar 10, 2021

$2.3B

n/a

2019

Mar 6, 2020

$2.3B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.3B

$2.4B

-2.9%

$2.1B

2.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RSW INVESTMENTS, LLC

May 22, 2019

May 28, 2019

SUMMIT, NJ

Channel change

RIA to RIA

100.0%