Rsw Investments, LLC (Summit)

Name: Rsw Investments, LLC
Address: 47 Maple Street, Summit, NJ, 07901
Telephone: 908-273-4311

Rsw Investments, LLC is a large advisory firm based in Summit. It manages $2.22 billion of regulatory assets for 1,543 client accounts. It has been registered with the SEC as an adviser since 2005 and has operated in the jurisdictions of Arizona, California, Connecticut, and 18 other states.

Rsw Investments provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Rsw Investments: assets under management

The assets under management (AUM) of Rsw Investments, LLC is $2.22 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 3940% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $2.22 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.44 million each.

Investments

The firm invests in state and local bonds the most. They account for 98% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio. Investments in government bonds form 1% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Rsw Investments, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Rsw Investments serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Rsw Investments is high net worth individuals with 422 clients and $1.61 billion of assets under management. Among the 10 most similar advisory firms, Rsw Investments has the highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $2.11 billion for 1,314 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Rsw Investments doesn't advise any private funds.

Careers at Rsw Investments, LLC

The company employs 10 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Robert Steven Waas	Ceo/cio/cco	1 Jan 2005	75% - 100%	1278249
Matthew Taylor Werner	Member	1 Feb 2009	Other	5649837
Robert Kingsley Coates	Member	1 Feb 2009	Other	2264752

Based in Summit

The principal office where Rsw Investments, LLC performs its advisory services is located at 47 Maple Street, Summit, NJ 07901, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 908-273-4311 or by fax 908-934-9211. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at rswinvestments.com and its LinkedIn profile.