DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 166871
NEWPORT BEACH, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| GARY CHARLES CARMELL | Chartered Financial Analyst | Santa Ana, CA | NEWPORT BEACH, CA | 13 | 39 | n/a | yes |
| MARK RYAN RUGGLES | n/a | NEWPORT BEACH, CA | Placentia, CA | 13 | 30 | 2 | yes |
| MICHAEL JAMES BRITTINGHAM | n/a | NEWPORT BEACH, CA | Austin, TX | 10 | 19 | n/a | yes |
| STEVEN JAY SHERWOOD | n/a | Fort Worth, TX | Austin, TX | NEWPORT BEACH, CA | 5 | 47 | 1 | yes |
| MICHAEL ELMER ENGELS | n/a | NEWPORT BEACH, CA | Austin, TX | Plano, TX | 4 | 24 | n/a | yes |
| Justin Patrick Leahy | n/a | Austin, TX | NEWPORT BEACH, CA | 4 | 15 | n/a | yes |
| JOHN BERTRAND MANLEY | n/a | Huntington Beach, CA | Newport Beach, CA | NEWPORT BEACH, CA | 2 | 27 | 1 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| CWS SAF VIII LLC | Real Estate Fund | $57.2M | May 15, 2024 | 3 | Jun 22, 2023 | reported | n/a |
| CWS SAF VI, LLC | Real Estate Fund | $35.3M | May 15, 2024 | 102 | Mar 16, 2016 | reported | 021-213712 |
| CWS SAF IX LLC | Real Estate Fund | $34.6M | May 15, 2024 | 3 | Jun 22, 2023 | reported | n/a |
| CWS SAF X LLC | Real Estate Fund | $34.1M | May 15, 2024 | 3 | Jun 22, 2023 | reported | n/a |
| CWS SAF VIII QI, LLC | Real Estate Fund | $29.7M | May 15, 2024 | 104 | Mar 16, 2016 | reported | 021-255377 |
| CWS SAF X QPF LLC | Real Estate Fund | $28.8M | May 15, 2024 | 73 | Mar 31, 2018 | reported | 021-284754 |
| CWS SAF VII, LLC | Real Estate Fund | $28.1M | May 15, 2024 | 114 | Mar 16, 2016 | reported | 021-228898 |
| CWS SAF XIII LLC | Real Estate Fund | $27.8M | May 15, 2024 | 3 | Jun 22, 2023 | reported | n/a |
| CWS SAF VIII QPF, LLC | Real Estate Fund | $27.5M | May 15, 2024 | 30 | Mar 16, 2016 | reported | 021-255386 |
| CWS SAF IX QPF, LLC | Real Estate Fund | $26.0M | May 15, 2024 | 68 | Mar 30, 2017 | reported | 021-272595 |
| CWS SAF III, LLC | Real Estate Fund | $25.9M | May 15, 2024 | 93 | Mar 16, 2016 | reported | 021-1552271 |
| CWS SAF XIII QPF LLC | Real Estate Fund | $23.9M | May 15, 2024 | 45 | Mar 28, 2022 | reported | 021-363672 |
| CWS SAF XII LLC | Real Estate Fund | $21.4M | May 15, 2024 | 3 | Jun 22, 2023 | reported | n/a |
| CWS SAF V, LLC | Real Estate Fund | $19.9M | May 15, 2024 | 90 | Mar 16, 2016 | reported | 021-197949 |
| CWS SAF XI LLC | Real Estate Fund | $19.0M | May 15, 2024 | 3 | Jun 22, 2023 | reported | n/a |
| CWS SAF XII QPF LLC | Real Estate Fund | $17.3M | May 15, 2024 | 50 | Mar 28, 2021 | reported | 021-363672 |
| CWS SAF IV, LLC | Real Estate Fund | $15.7M | May 15, 2024 | 112 | Mar 16, 2016 | reported | 021-1563967 |
| CWS SAF XI QPF LLC | Real Estate Fund | $15.6M | May 15, 2024 | 44 | Mar 29, 2019 | reported | 021-325465 |
| CWS SAF XIV LLC | Real Estate Fund | $10.7M | May 15, 2024 | 3 | Jun 22, 2023 | reported | n/a |
| CWS SAF IX QI, LLC | Real Estate Fund | $8.6M | May 15, 2024 | 61 | Mar 30, 2017 | reported | 021-272593 |
| CWS SAF XIV QPF LLC | Real Estate Fund | $8.5M | May 15, 2024 | 34 | Mar 31, 2023 | reported | n/a |
| CWS STRATEGIC APARTMENT FUND LLC | Real Estate Fund | $6.5M | May 15, 2024 | 75 | Mar 16, 2016 | reported | 021-1483020 |
| CWS SAF X QI LLC | Real Estate Fund | $5.3M | May 15, 2024 | 32 | Mar 31, 2018 | reported | 021-284746 |
| CWS SAF XII QI LLC | Real Estate Fund | $4.1M | May 15, 2024 | 43 | Mar 28, 2021 | reported | 021-363672 |
| CWS SAF XIII QI LLC | Real Estate Fund | $3.9M | May 15, 2024 | 45 | Mar 28, 2022 | reported | 021-363672 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CARMELL, GARY, CHARLES | Shareholder | Na | yes | 01/1998 | Mar 16, 2016 | May 15, 2024 |
| ENGELS, MICHAEL, ELMER | CHIEF INVESTMENT OFFICER | B | yes | 10/2003 | Mar 16, 2016 | May 15, 2024 |
| RUGGLES, MARK, RYAN | COO/CCO | Na | yes | 03/2017 | Mar 30, 2017 | May 15, 2024 |
| SHERWOOD FAMILY LLC | Shareholder | C | yes | 07/2008 | Mar 16, 2016 | May 15, 2024 |
| SHERWOOD, JOSEPH, HULING | Trustee | E | yes | 01/1998 | Mar 16, 2016 | May 15, 2024 |
| SHERWOOD, STEVEN, JAY | Trustee | E | yes | 01/1998 | Mar 16, 2016 | May 15, 2024 |
| SHERWOOD, ZACHARY, SCOTT | TRUST BENEFICIARY | F | yes | 07/2008 | Mar 16, 2016 | May 15, 2024 |
| SHERWOOD, ZACHARY, SCOTT | TRUST BENEFICIARY | F | yes | 07/2008 | Mar 16, 2016 | May 15, 2024 |
| STEVEN SHERWOOD TRUST | SHAREHOLDER / MANAGING MEMBER | C | yes | 01/1998 | Mar 16, 2016 | May 15, 2024 |
| ZACHARY SHERWOOD IRREVOCABLE TRUST | Member | C | yes | 07/2008 | Mar 16, 2016 | May 15, 2024 |
| ZACHARY SHERWOOD S. TRUST | Member | E | yes | 07/2008 | Mar 16, 2016 | May 15, 2024 |
| BRITTINGHAM, MICHAEL, JAMES | Shareholder | A | no | 01/2017 | Mar 30, 2017 | May 15, 2024 |
| CARMELL TRUST | Shareholder | B | no | 01/1998 | Mar 16, 2016 | May 15, 2024 |
| Leahy, Justin, Patrick | Shareholder | A | no | 01/2023 | Mar 31, 2023 | May 15, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS | n/a | State registered | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Austin | TX | United States | 21 | no |
| Plano | TX | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $268M | $268M | 52 | 25 | 2 | 28 | n/a |
| 2024 | Mar 31, 2025 | $274M | $274M | 49 | 24 | 2 | 30 | n/a |
| 2023 | Mar 28, 2024 | $336M | $336M | 51 | 51 | 2 | 27 | $541M |
| 2022 | Mar 31, 2023 | $465M | $465M | 55 | 55 | 2 | 21 | $465M |
| 2021 | Mar 28, 2022 | $469M | $469M | 46 | 46 | 2 | 19 | $469M |
| 2020 | Mar 28, 2021 | $311M | $311M | 43 | 43 | 2 | 17 | $311M |
| 2019 | Mar 28, 2020 | $273M | $273M | 45 | 45 | 2 | 15 | $273M |
| 2018 | Mar 29, 2019 | $276M | $276M | 4 | 4 | 1 | 15 | $276M |
| 2017 | Mar 31, 2018 | $255M | $255M | 5 | 4 | 1 | 13 | $338M |
| 2016 | Mar 30, 2017 | $194M | $194M | 4 | 3 | n/a | 11 | $317M |
| 2015 | Mar 17, 2016 | $142M | $142M | 4 | 3 | n/a | 9 | $288M |
| 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 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $268M | $274M | -2.2% | $465M | -16.7% | 52 | 49 | 2 | 2 |