Investment adviser · CRD 287980
AWM CAPITAL, LLC
PHOENIX, AZ, United States · Form ADV filed May 15, 2024
- Regulatory AUM
- $861M Form ADV · Item 5.F
- Client accounts
- 2,463 Accounts, not individual clients
- Employees
- 30 Reported in this filing
- Advisory professionals
- 15 Investment advisory functions
How this adviser has changed
Annual filingsRegulatory assets under management
Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.
| Fiscal year | Regulatory AUM | Employees | Filed |
|---|---|---|---|
| 2021 | $432,604,263 | 24 | Mar 23, 2022 |
| 2022 | $530,893,901 | 21 | Mar 28, 2023 |
| 2023 | $860,648,664 | 30 | Mar 28, 2024 |
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| High-net-worth individuals | 165 | $709,853,580 | 82.5% |
| Individuals | 224 | $142,146,229 | 16.5% |
| Retirement plans | Fewer than 5 | $5,744,376 | 0.7% |
| Other investment advisers | Fewer than 5 | $1,152,432 | 0.1% |
| Corporations & businesses | Fewer than 5 | $1,075,525 | 0.1% |
| Charities | Fewer than 5 | $676,522 | 0.1% |
Filing source
Form ADV 1876355 · May 15, 2024 · Item 5.D
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
FRANK, RIMERMAN + CO. LLP
Auditor · funds reporting this exact name in the selected filing
These are reported-name connections within this adviser's filing, not a verified global provider identity or market-wide client count.
Private funds & service providers
6 detailed fund recordsLargest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.
AWM VENTURE FUND IV, LPVenture Capital Fund$16.9MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
FRANK, RIMERMAN + CO. LLP
PCAOB 1596
Fund details & source
- Fund ID
- 805-9518457062
- Reported beneficial owners
- 52
- Minimum commitment
- $100K
- Form D file number
- 021-486398
Form ADV 1876355 · May 15, 2024 · Schedule D 7.B.(1)
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
AWM VENTURE FUND III, LLCVenture Capital Fund$8.12MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
FRANK, RIMERMAN + CO. LLP
PCAOB 1596
Fund details & source
- Fund ID
- 805-1814933481
- Reported beneficial owners
- 31
- Minimum commitment
- $10K
- Form D file number
- 021-442828
Form ADV 1876355 · May 15, 2024 · Schedule D 7.B.(1)
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
AWM VENTURE FUND II, LLCVenture Capital Fund$3.62MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
FRANK, RIMERMAN + CO. LLP
PCAOB 1596
Fund details & source
- Fund ID
- 805-4140123649
- Reported beneficial owners
- 35
- Minimum commitment
- $10K
- Form D file number
- 021-406686
Form ADV 1876355 · May 15, 2024 · Schedule D 7.B.(1)
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
AWM VENTURE FUND I LLCVenture Capital Fund$3.22MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
FRANK RIMMERMAN + CO. LLP
PCAOB 1596
Fund details & source
- Fund ID
- 805-2018289244
- Reported beneficial owners
- 16
- Minimum commitment
- $10K
- Form D file number
- 021-349856
Form ADV 1876355 · May 15, 2024 · Schedule D 7.B.(1)
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
AWM VENTURE OPPORTUNITY FUND I LLCVenture Capital Fund$1.26MGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- Yes
- Administrator other than the adviser
- No
- External marketing
- No
FRANK, RIMERMAN + CO. LLP
PCAOB 1596
Fund details & source
- Fund ID
- 805-4023163303
- Reported beneficial owners
- 25
- Minimum commitment
- $10K
- Form D file number
- 021-370275
Form ADV 1876355 · May 15, 2024 · Schedule D 7.B.(1)
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
AWM VENTURES SPV IIIVenture Capital Fund$250KGross asset value
Form D fundraising filings
View filings for the issuer linked by this fund’s reported Form D file numbers.
Provider details
- Annual audit
- Yes
- Prime brokers
- No
- Custodians
- No
- Administrator other than the adviser
- No
- External marketing
- No
FRANK, RIMERMAN + CO. LLP
PCAOB 1596
Fund details & source
- Fund ID
- 805-5167345053
- Reported beneficial owners
- 15
- Minimum commitment
- $1K
- Form D file number
- 021-431205
Form ADV 1876355 · May 15, 2024 · Schedule D 7.B.(1)
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Services & filing details
Showing values from the selected filing. Latest observed filing does not establish current registration status.
What changed?
Since Mar 28, 2024 · previous imported filing
No comparable changes in the displayed metrics.
Filing source
Form ADV 1876355 · May 15, 2024 · Items 1 & 5
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.
Management of assets
- Discretionary
- $861M
- Non-discretionary
- $0
Reported services
Financial planning · Individual portfolio management · Pooled investment vehicle management
Compensation
Percentage of assets · Hourly · Fixed
Principal office
1 N. 1ST STREET, SUITE 700PHOENIX, AZ, 85004, United States
CRD 287980
Filing source
Form ADV 1876355 · May 15, 2024 · Items 1 & 5
Reported by AWM CAPITAL, LLC (CRD 287980).
Other-Than Anual Amendment For Registered Adviser.
Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.