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.
SEC-registered adviser
Rsw Investments
Legal name Rsw Investments Holdings, LLC
Latest filing Mar 5, 2026
First filing on the tape Apr 17, 2019 · 15 filings
SEC status approved since May 17, 2019
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.3B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.1B
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.3B as of Mar 5, 2026
Mar 6, 2020$2.3B then
HNW client RAUM$2.0B as of Mar 5, 2026
Mar 6, 2020$1.9B then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 6, 20202 then
Employees (5.A)10 as of Mar 5, 2026
Mar 6, 202010 then
Private funds: no history
RAUM -2.9% over the last fiscal year+2.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 706derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B88%
- Individuals$276M12%
- Individual clients
- 530reported
- HNW clients
- 882reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,632reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $2.2B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Steven Waas | Summit, Nj | May 22, 2019 | 23 y | 1 |
| Matthew Taylor WernerChartered Financial Analyst | Summit, Nj | May 28, 2019 | 21 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Rebecca Harris · Directorcontrolsince 04/2022 · owns less than 5%
- John Gregory Stumm · Directorcontrolsince 05/2024 · owns less than 5%
- Steven Robert Waas · Ceo/Cio/Directorcontrolsince 01/2005 · owns 25% to 50%
- Taylor Matthew Werner · Member/Directorcontrolsince 02/2009 · owns 5% to 10%
- Elaine Christina Sears · Chief Compliance Officersince 07/2019 · owns less than 5%
Entity owners
- Resolute Investment Managers, Inc. · Shareholder Officerdirect · owns 50% to 75%
- Resolute Acquisition, Inc. · Shareholderindirect · owns 75% or more of Resolute Investment Managers, Inc.
- Resolute Topco, Inc. · Shareholderindirect · owns 75% or more of Resolute Acquisition, Inc.
Related persons
Schedule D 7.A
- American Beacon Advisors, Inc.investment adviserbanknRAUM $60B
- American Private Equity Management LLCpooled vehicle sponsorn
- National Investment Services Of America, LLCinvestment adviserbanknRAUM $16B
- Resolute Investment Distributors, Inc.broker-dealern
- Shapiro Capital Management LLCinvestment advisernRAUM $2.0B
- Ssi Investment Management LLCinvestment adviserbankpooled vehicle sponsornRAUM $2.6B
Advisers that list Rsw Investments as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Summit, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 5, 2026WAAS, ROBERT, STEVEN (CEO/CIO/DIRECTOR) left Schedule A between the filings of 2024-05-07 and 2026-03-05peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Mar 5, 2026WERNER, MATTHEW, TAYLOR (MEMBER/DIRECTOR) left Schedule A between the filings of 2024-05-07 and 2026-03-05peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,692 to 1,632Feb 27, 2025 to Mar 5, 2026
- HNW clients · 948 to 882Feb 27, 2025 to Mar 5, 2026
- Individual clients · 574 to 530Feb 27, 2025 to Mar 5, 2026
- Discretionary RAUM · $2.4B to $2.3BFeb 27, 2025 to Mar 5, 2026
- HNW RAUM · $2.1B to $2.0BFeb 27, 2025 to Mar 5, 2026
- Individual RAUM · $283M to $276MFeb 27, 2025 to Mar 5, 2026
- RAUM · $2.4B to $2.3BFeb 27, 2025 to Mar 5, 2026
- Wrap assets (manager) · $2.2B to $2.2BFeb 27, 2025 to Mar 5, 2026
- Accounts · 1,715 to 1,692May 7, 2024 to Feb 27, 2025
- HNW clients · 990 to 948May 7, 2024 to Feb 27, 2025
- Individual clients · 464 to 574May 7, 2024 to Feb 27, 2025
- Financial planning clients · unset to May 7, 2024 to Feb 27, 2025
- Discretionary RAUM · $2.3B to $2.4BMay 7, 2024 to Feb 27, 2025
- HNW RAUM · $2.1B to $2.1BMay 7, 2024 to Feb 27, 2025
- Individual RAUM · $235M to $283MMay 7, 2024 to Feb 27, 2025
- RAUM · $2.3B to $2.4BMay 7, 2024 to Feb 27, 2025
- Wrap assets (manager) · $2.1B to $2.2BMay 7, 2024 to Feb 27, 2025
- Accounts · 1,634 to 1,715Mar 3, 2023 to Mar 5, 2024
- HNW clients · 1,010 to 990Mar 3, 2023 to Mar 5, 2024
- Individual clients · 340 to 464Mar 3, 2023 to Mar 5, 2024
- Discretionary RAUM · $2.1B to $2.3BMar 3, 2023 to Mar 5, 2024
- HNW RAUM · $2.0B to $2.1BMar 3, 2023 to Mar 5, 2024
- Individual RAUM · $172M to $235MMar 3, 2023 to Mar 5, 2024
- RAUM · $2.1B to $2.3BMar 3, 2023 to Mar 5, 2024
- Wrap assets (manager) · $2.1B to $2.1BMar 3, 2023 to Mar 5, 2024
- HNW clients · 1,027 to 1,010Oct 3, 2022 to Mar 3, 2023
- Individual clients · 315 to 340Oct 3, 2022 to Mar 3, 2023
- Discretionary RAUM · $2.4B to $2.1BOct 3, 2022 to Mar 3, 2023
- HNW RAUM · $2.2B to $2.0BOct 3, 2022 to Mar 3, 2023
- Individual RAUM · $158M to $172MOct 3, 2022 to Mar 3, 2023
- RAUM · $2.4B to $2.1BOct 3, 2022 to Mar 3, 2023
- Wrap assets (manager) · $2.3B to $2.1BOct 3, 2022 to Mar 3, 2023
- Accounts · 1,607 to 1,634Mar 10, 2021 to Mar 3, 2022
- HNW clients · 523 to 1,027Mar 10, 2021 to Mar 3, 2022
- Individual clients · 798 to 315Mar 10, 2021 to Mar 3, 2022
- Discretionary RAUM · $2.3B to $2.4BMar 10, 2021 to Mar 3, 2022
- HNW RAUM · $1.9B to $2.2BMar 10, 2021 to Mar 3, 2022
- Individual RAUM · $399M to $158MMar 10, 2021 to Mar 3, 2022
- RAUM · $2.3B to $2.4BMar 10, 2021 to Mar 3, 2022
- Wrap assets (manager) · $2.3B to $2.3BMar 10, 2021 to Mar 3, 2022
Signals
6 dated events
- Karl Jeffrey Ringdahl (Director) no longer on Schedule A of Rsw Investments (listed 2024-03-05, absent 2024-05-07)May 7, 2024 · Control person left · inference
- John Gregory Stumm (Director) appeared on Schedule A of Rsw InvestmentsMay 7, 2024 · Control person joined · fact
- Lynn Rebecca Harris (Director) appeared on Schedule A of Rsw InvestmentsMay 12, 2022 · Control person joined · fact
- Louis Gene Needles (Director) no longer on Schedule A of Rsw Investments (listed 2022-03-03, absent 2022-05-12)May 12, 2022 · Control person left · inference
- Rsw Investments reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 17, 2019 · Succession (Item 4) · fact
- Rsw Investments filed its initial SEC registration (Form ADV)Apr 17, 2019 · 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
- Business phone
- 908-608-9600reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/rsw-investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- rswinvestments.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 908-273-4311reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- rswinvestments.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026