CWS CAPITAL PARTNERS LLC of NEWPORT BEACH, CA is an SEC-registered investment adviser (CRD 166871). Regulatory assets under management: $268.4M. This firm reports disciplinary history on Form ADV.
Compensation: Performance, Other.
Clients served: Investment cos, Other.
| Name | Role | Location |
|---|---|---|
| Gary Charles Carmell | SHAREHOLDER | Newport Beach, CA |
| STEVEN JAY SHERWOOD | TRUSTEE | AUSTIN, TX |
| Michael Elmer Engels | CHIEF INVESTMENT OFFICER | — |
| Mark Ryan Ruggles | COO/CCO | — |
| Joseph Huling Sherwood | TRUSTEE | — |
| Zachary Scott Sherwood | TRUST BENEFICIARY | — |
| Michael James Brittingham | SHAREHOLDER | — |
| Justin Patrick Leahy | SHAREHOLDER | — |
| SHERWOOD STEVEN JAY | OWNER; TRUSTEE | — |
| ENGELS MICHAEL ELMER | CHIEF INVESTMENT OFFICER | — |
| CARMELL GARY CHARLES | CHIEF COMPLIANCE OFFICER; OWNER; SHAREHOLDER (+1 more) | — |
| SHERWOOD JOSEPH | MANAGING MEMBER; OWNER; TRUSTEE | — |
| SHERWOOD ZACHARY | OWNER; TRUST BENEFICIARY | — |
| SHERWOOD JOSEPH HULING | MANAGING MEMBER; TRUSTEE | — |
| SHERWOOD ZACHARY SCOTT | TRUST BENEFICIARY | — |
| RUGGLES MARK RYAN | COO/CCO | — |
| BRITTINGHAM MICHAEL JAMES | SHAREHOLDER | — |
| Leahy Justin Patrick | SHAREHOLDER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-02-17 | regulatory | CWS BEGAN PROVIDING INVESTMENT ADVICE IN 2010 TO A PRIVATE FUND (STRATEGIC APARTMENT FUND). AT THE TIME IT BELIEVED IT MET THE THEN CURRENT EXEMPTIONS AFFORDED BY THE STATE OF CALIFORNIA. IT CONTINUED TO SPONSOR NEW PRIVATE FUNDS (SAF II THRU SAF V). IN 2012 THE LANGUAGE OF THE CODES WAS CHANGED BY… | Final | $34K |
| 1993-07-14 | regulatory | VIOLATION OF ARTICLE 3, SECTION 1 RULES OF FAIR PRACTICE, FAILURE TO TRANSMIT FUNDS TO ESCROW ACCOUNT; FAILED TO MAINTAIN MINIMUM NET CAPITAL REQUIREMENT. | Final | $5K |