SWS CAPITAL MANAGEMENT, LLC – investment adviser, $413M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	2	$208,679,586	50.5%
Government entities	5	$178,174,784	43.1%
Corporations & businesses	Fewer than 5	$18,929,047	4.6%
Other clients	Fewer than 5	$7,311,332	1.8%

Filing source

Form ADV 2114595 · Jul 21, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

2 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

NEW YORK SOCIAL EQUITY CANNABIS INVESTMENT FUND, L.P.Other Private Fund · Last reported Jul 21, 2026$99.5MGross asset value

Form D fundraising filings

New York Social Equity Cannabis Investment Fund, L.P.

Fund administrator IQ-EQ DALLAS, Texas, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor GRASSI & CO., CPAS, P.C. NEW YORK, New York, United States

Custodian VALLEY NATIONAL BANK WAYNE, New Jersey, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

GRASSI & CO., CPAS, P.C.
PCAOB 606

VALLEY NATIONAL BANK
LEI KI0VI4JRMCIJ329YTN75

Fund details & source

Fund ID: 805-7932330550
Reported beneficial owners: 2
Minimum commitment: $0
Form D file number: 021-471102

Form ADV 2114595 · Jul 21, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CLEAR VISION IMPACT FUND, LPOther Private Fund · Last reported Jul 21, 2026$97.6MGross asset value

Fund administrator IQ-EQ DALLAS, Texas, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor GRASSI & CO., CPAS, P.C. NEW YORK, New York, United States

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer SIEBERT WILLIAMS SHANK & CO., LLC NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

GRASSI & CO., CPAS, P.C.
PCAOB 606

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

SIEBERT WILLIAMS SHANK & CO., LLC
CRD 42568 · SEC 8-49877

Fund details & source

Fund ID: 805-6425220599
Reported beneficial owners: 10
Minimum commitment: $0
Form D file number: 021-39374

Form ADV 2114595 · Jul 21, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 21, 2026. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets

Principal office

100 WALL STREET, 18TH FLOOR
NEW YORK, NY, 10005, United States

CRD 119043

Filing source

Form ADV 2114595 · Jul 21, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.