DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C•• C•••••• P••••••• L••
Latest filing May 4, 2026
First filing on the tape Mar 16, 2016 · 23 filings
SEC status approved since Apr 5, 2016
RAUM
$268M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$38.3M
derived; firm RAUM over IAPD count
Employees
52
25 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
28
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$268M as of May 4, 2026
Mar 17, 2016$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of May 4, 2026
Mar 17, 20164 then
Employees (5.A)52 as of May 4, 2026
Mar 17, 20164 then
Private funds28 as of May 4, 2026
Mar 17, 20169 then
RAUM -2.2% over the last fiscal year-17% a year over threeIARs 6 to 12
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
- RAUM per advisor
- $38.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $9.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.4derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $3.2M, 27 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$268M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 28reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.2M for 27 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=17.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• C•••••• C••••••Chartered Financial Analyst | Santa Ana, Ca | Aug 30, 2013 | 39 y | 0 |
| M••• R••• R•••••• | Newport Beach, Ca | Aug 30, 2013 | 30 y | 2 |
| M•••••• J•••• B••••••••• | Newport Beach, Ca | Apr 12, 2016 | 19 y | 0 |
| S••••• J•• S••••••• | Fort Worth, Tx | Jan 12, 2021 | 47 y | 1 |
| M•••••• E•••• E••••• | Newport Beach, Ca | Mar 11, 2022 | 24 y | 0 |
| J••••• P•••••• L•••• | Austin, Tx | Jun 30, 2022 | 15 y | 0 |
| J••• B••••••• M••••• | Huntington Beach, Ca | May 28, 2024 | 27 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- I••••• M•••• P••• to E•••••••• W••••• M•••••••••Jun 23, 2021 · Other
Joined, latest
- S••••• J•• S••••••• from C•• M••••••••• L••Jan 12, 2021 · Other
- I••••• M•••• P••• from C•• I•••••••••Mar 2, 2020 · Other
Private funds
28 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• S•• V••• L•• | Real Estate Fund | $57.2M | 3 | Jun 22, 2023 |
| C•• S•• V•• L•• | Real Estate Fund | $35.3M | 102 | Mar 16, 2016 |
| C•• S•• I• L•• | Real Estate Fund | $34.6M | 3 | Jun 22, 2023 |
| C•• S•• X• L•• | Real Estate Fund | $34.1M | 3 | Jun 22, 2023 |
| C•• S•• V••• Q•• L•• | Real Estate Fund | $29.7M | 104 | Mar 16, 2016 |
| C•• S•• X• Q•• L•• | Real Estate Fund | $28.8M | 73 | Mar 31, 2018 |
| C•• S•• V••• L•• | Real Estate Fund | $28.1M | 114 | Mar 16, 2016 |
| C•• S•• X••• L•• | Real Estate Fund | $27.8M | 3 | Jun 22, 2023 |
| C•• S•• V••• Q••• L•• | Real Estate Fund | $27.5M | 30 | Mar 16, 2016 |
| C•• S•• I• Q••• L•• | Real Estate Fund | $26.0M | 68 | Mar 30, 2017 |
| C•• S•• I••• L•• | Real Estate Fund | $25.9M | 93 | Mar 16, 2016 |
| C•• S•• X••• Q•• L•• | Real Estate Fund | $23.9M | 45 | Mar 28, 2022 |
| C•• S•• X•• L•• | Real Estate Fund | $21.4M | 3 | Jun 22, 2023 |
| C•• S•• V• L•• | Real Estate Fund | $19.9M | 90 | Mar 16, 2016 |
| C•• S•• X• L•• | Real Estate Fund | $19.0M | 3 | Jun 22, 2023 |
| C•• S•• X•• Q•• L•• | Real Estate Fund | $17.3M | 50 | Mar 28, 2021 |
| C•• S•• I•• L•• | Real Estate Fund | $15.7M | 112 | Mar 16, 2016 |
| C•• S•• X• Q•• L•• | Real Estate Fund | $15.6M | 44 | Mar 29, 2019 |
| C•• S•• X•• L•• | Real Estate Fund | $10.7M | 3 | Jun 22, 2023 |
| C•• S•• I• Q•• L•• | Real Estate Fund | $8.6M | 61 | Mar 30, 2017 |
| C•• S•• X•• Q•• L•• | Real Estate Fund | $8.5M | 34 | Mar 31, 2023 |
| C•• S•••••••• A•••••••• F••• L•• | Real Estate Fund | $6.5M | 75 | Mar 16, 2016 |
| C•• S•• X• Q• L•• | Real Estate Fund | $5.3M | 32 | Mar 31, 2018 |
| C•• S•• X•• Q• L•• | Real Estate Fund | $4.1M | 43 | Mar 28, 2021 |
| C•• S•• X••• Q• L•• | Real Estate Fund | $3.9M | 45 | Mar 28, 2022 |
| C•• S•• X• Q• L•• | Real Estate Fund | $3.4M | 37 | Mar 29, 2019 |
| S•• S•• X•• Q•• L•• | Real Estate Fund | $2.2M | 20 | Mar 31, 2023 |
| C•• S•• I•• L•• | Real Estate Fund | $657,817 | 84 | Mar 16, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• G•••• C•••••• · Shareholdercontrolsince 01/1998 · owns less than 5%
- E•••••• M••••••• E•••• · Chief Investment Officercontrolsince 10/2003 · owns 10% to 25%
- R••••••• M•••• R••• · Coo/Ccocontrolsince 03/2017 · owns less than 5%
- S•••••••• J•••••• H••••• · Trusteecontrolsince 01/1998 · owns 75% or more of J••••• H. S••••••• Trust
- S•••••••• S•••••• J•• · Trusteecontrolsince 01/1998 · owns 75% or more of S••••• Sherwqood Trust
- S•••••••• Z••••••• S•••• · Trust Beneficiarycontrolsince 07/2008 · owns F of Z•••••• S••••••• I••••••••• T••••
- S•••••••• Z••••••• S•••• · Trust Beneficiarycontrolsince 07/2008 · owns F of Z•••••• S••••••• S• T••••
- B••••••••• M••••••• J•••• · Shareholdersince 01/2017 · owns 5% to 10%
- L••••• J•••••• P•••••• · Shareholdersince 01/2023 · owns 5% to 10%
Entity owners
- S••••••• F••••• L•• · Shareholderdirect · owns 25% to 50%
- S••••• S••••••• T•••• · Shareholder / Managing Memberdirect · owns 25% to 50%
- Z•••••• S••••••• I••••••••• T•••• · Memberindirect · owns 25% to 50% of S••••••• F••••• L••
- Z•••••• S••••••• S• T•••• · Memberindirect · owns 75% or more of S••••••• F••••• L••
- C•••••• T•••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C•• I•••••••••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 7 | 0 | 0 | ||
| Austin, Tx | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX21 employees
- Plano, TX2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 12.0 (+100.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (24 comparable advisers, 100.0th percentile of changes)peers: asset managers, $100M to $500M (24) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 30 to 28May 9, 2025 to Mar 30, 2026
- Advisory employees · 24 to 25May 9, 2025 to Mar 30, 2026
- BD registered reps · 15 to 17May 9, 2025 to Mar 30, 2026
- Pooled vehicle clients · 30 to 28May 9, 2025 to Mar 30, 2026
- Assets in custody · $1.9M to $3.2MMay 9, 2025 to Mar 30, 2026
- Employees · 49 to 52May 9, 2025 to Mar 30, 2026
- Insurance-licensed employees · 9 to 3May 9, 2025 to Mar 30, 2026
- State-registered IARs · 6 to 12May 9, 2025 to Mar 30, 2026
- Private funds · 30 to 28May 9, 2025 to Mar 30, 2026
- Discretionary RAUM · $293M to $268MMay 9, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $293M to $268MMay 9, 2025 to Mar 30, 2026
- RAUM · $293M to $268MMay 9, 2025 to Mar 30, 2026
- Assets in custody · $2.2M to $1.9MMar 31, 2025 to May 9, 2025
- Financial planning clients · 0 to 0Mar 31, 2025 to May 9, 2025
- Discretionary RAUM · $274M to $293MMar 31, 2025 to May 9, 2025
- Pooled vehicle RAUM · $274M to $293MMar 31, 2025 to May 9, 2025
- RAUM · $274M to $293MMar 31, 2025 to May 9, 2025
- Accounts · 28 to 30May 15, 2024 to Mar 31, 2025
- Advisory employees · 51 to 24May 15, 2024 to Mar 31, 2025
- Pooled vehicle clients · 28 to 30May 15, 2024 to Mar 31, 2025
- Assets in custody · $3.6M to $2.2MMay 15, 2024 to Mar 31, 2025
- Employees · 51 to 49May 15, 2024 to Mar 31, 2025
- Insurance-licensed employees · 6 to 9May 15, 2024 to Mar 31, 2025
- State-registered IARs · 9 to 6May 15, 2024 to Mar 31, 2025
- Private funds · 27 to 30May 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $336M to $274MMay 15, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $336M to $274MMay 15, 2024 to Mar 31, 2025
- RAUM · $336M to $274MMay 15, 2024 to Mar 31, 2025
- Advisory employees · 55 to 51Jun 22, 2023 to Mar 28, 2024
- Assets in custody · $6.7M to $3.6MJun 22, 2023 to Mar 28, 2024
- Employees · 55 to 51Jun 22, 2023 to Mar 28, 2024
- State-registered IARs · 11 to 9Jun 22, 2023 to Mar 28, 2024
- Private funds · 28 to 27Jun 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $465M to $336MJun 22, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $465M to $336MJun 22, 2023 to Mar 28, 2024
- RAUM · $465M to $336MJun 22, 2023 to Mar 28, 2024
- Accounts · 21 to 28May 9, 2023 to Jun 22, 2023
- Pooled vehicle clients · 21 to 28May 9, 2023 to Jun 22, 2023
- Private funds · 21 to 28May 9, 2023 to Jun 22, 2023
- State-registered IARs · 10 to 11Mar 31, 2023 to May 9, 2023
Signals
3 dated events
- C•• C•••••• P••••••• L•• reported RAUM $336.3M, down 28% from $464.6M (2023-06-22 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- C•• C•••••• P••••••• L•• reported RAUM $468.9M, up 51% from $310.7M (2021-03-28 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- C•• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 16, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/cws-capital-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CWSCAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-466-0020reportedpublic record, Form ADV, May 4, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $38.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C•• C•••••• P••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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