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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

RSW INVESTMENTS, LLC

CRD 134261

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:4db2285b-e786-10b7-a8cc-56b4386793e1

Data as of Mar 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 6, 2012 to Mar 21, 2019
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.2BItem 5.F on the latest filing (2019-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.2B
Private client RAUM: $2.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,543
Individual clients: 892
High net worth clients: 422
SEC number: 801-63947
CRD: 134261
Filings on the tape: 15
First filed: Jan 6, 2012
Latest filed: Mar 21, 2019
Organised: Limited Liability Company, New Jersey

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
WAAS, ROBERT, STEVEN	CEO/CIO/CCO	E	yes	01/2005	Jan 6, 2012	Mar 21, 2019
WERNER, MATTHEW, TAYLOR	Member	A	no	02/2009	Jan 6, 2012	Mar 21, 2019

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	Offices	Private funds	Fund GAV
2018	Mar 21, 2019	$2.2B	$2.2B	10	6	0	n/a	n/a
2017	Mar 14, 2018	$2.3B	$2.3B	11	6	0	n/a	n/a
2016	Mar 27, 2017	$2.2B	$2.2B	11	4	n/a	n/a	n/a
2015	Mar 14, 2016	$2.0B	$2.0B	8	4	n/a	n/a	n/a
2014	Mar 13, 2015	$1.9B	$1.9B	9	4	n/a	n/a	n/a
2013	Feb 3, 2014	$1.5B	$1.5B	9	4	n/a	n/a	n/a
2012	Jan 29, 2013	$1.6B	$1.6B	8	3	n/a	n/a	n/a
2011	Jan 27, 2012	$1.3B	$1.3B	n/a	n/a	n/a	n/a	n/a

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
2018	$2.2B	$2.3B	-2.5%	$2.0B	2.7%	10	11	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

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

Relationships

Controls (1)

← WAAS, ROBERT, STEVENOwnerCEO/CIO/CCO, ownership code E, individual
Jan 6, 2012 to presentfactForm ADV

Owns (1)

← WERNER, MATTHEW, TAYLOROwnerMEMBER, ownership code A, individual
Jan 6, 2012 to presentfactForm ADV

Moved with (1)

→ RSW INVESTMENTSRegistered adviser2 advisors, team lift out, same day
May 22, 2019 to May 28, 2019factForm ADV

Registered with (2)

← ROBERT STEVEN WAASAdvisorregistration: previous registration
Feb 18, 2005 to May 22, 2019factForm ADV
← MATTHEW TAYLOR WERNERAdvisorregistration: previous registration
Mar 22, 2018 to May 22, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4db2285b-e786-10b7-a8cc-56b4386793e1
First observed: Jan 6, 2012
Last observed: Mar 21, 2019 91 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, LLC

CRD 134261

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:4db2285b-e786-10b7-a8cc-56b4386793e1

Data as of Mar 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:23 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WAAS, ROBERT, STEVEN

CEO/CIO/CCO

yes

01/2005

Jan 6, 2012

Mar 21, 2019

WERNER, MATTHEW, TAYLOR

Member

02/2009

Jan 6, 2012

Mar 21, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 21, 2019

$2.2B

n/a

2017

Mar 14, 2018

$2.3B

n/a

2016

Mar 27, 2017

$2.2B

n/a

2015

Mar 14, 2016

$2.0B

n/a

2014

Mar 13, 2015

$1.9B

n/a

2013

Feb 3, 2014

$1.5B

n/a

2012

Jan 29, 2013

$1.6B

n/a

2011

Jan 27, 2012

$1.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$2.2B

$2.3B

-2.5%

$2.0B

2.7%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RSW INVESTMENTS

May 22, 2019

May 28, 2019

SUMMIT, NJ

Channel change

RIA to RIA

100.0%