Rsw Investments Holdings, Llc
- Regulatory AUM
- $2.3B
- Discretionary
- $2.3B
- Clients
- 1,412
- Avg AUM / client
- $1.6M
- Accounts
- 1,632
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Mar 05, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 530 | $276M | 12.0% |
| High net worth individuals | 882 | $2.0B | 88.0% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Steven Waas | Ceo/Cio/Director | Jan 2005 (22y) | 25% – 50% | |
| Matthew Taylor Werner | Member/Director | CFA | Feb 2009 (18y) | 5% – 10% |
| Sears, Christina, Elaine | Chief Compliance Officer | Jul 2019 (7y) | Less than 5% | |
| Harris, Rebecca, Lynn | Director | Apr 2022 (4y) | Less than 5% | |
| Stumm, Gregory, John | Director | May 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Resolute Investment Managers, Inc. | Shareholder | Apr 2019 | A | 50% – 75% |
| Resolute Acquisition, Inc. | Shareholder | Apr 2015 | B | ≈ 37.5% – 75% via Resolute Investment Managers, Inc. |
| Resolute Topco, Inc. | Shareholder | Apr 2015 | B | ≈ 28.13% – 75% via Resolute Acquisition, Inc. |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Resolute Acquisition, Inc.: 75% – 100% of Resolute Investment Managers, Inc. × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Resolute Topco, Inc.: 75% – 100% of Resolute Acquisition, Inc. × 75% – 100% of Resolute Investment Managers, Inc. × 50% – 75% direct ≈ 28.13% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/05/2026 | 1.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Morgan Stanley $842M (37% of AUM) Mar 2026
- UBS $644M (28% of AUM) Mar 2026
- Merrill Lynch $353M (15% of AUM) Mar 2026
- Wells Fargo $223M (10% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 05, 2026.
View current Form ADV (SEC/IAPD) ↗