Tsw Ii Capital Advisors, LLC (Chattanooga)

Tsw Ii Capital Advisors, LLC is a large advisory firm based in Chattanooga. It manages $279.8 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Tennessee.

Tsw Ii Capital Advisors provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tsw Ii Capital Advisors: assets under management

The assets under management (AUM) of Tsw Ii Capital Advisors, LLC is $279.8 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -16% since the beginning of its operation, and $34.9 million of the total AUM is attributable to clients outside of the United States.

The firm manages $279.8 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $93.27 million each.

Tsw Ii Capital Advisors has custody of $34.9 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Tsw Ii Capital Advisors, 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 Lafayette Hardwick Caldwell serves?

The only and largest group of clients of Lafayette Hardwick Caldwell is pooled investment vehicles with 3 clients and $279.8 million of assets under management. Among the 7 most similar advisory firms, Tsw Ii Capital Advisors has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $279.8 million for 3 clients. 33% of the firm’s clients are foreign persons or businesses.

Tsw Ii Capital Advisors also advises several private funds. Namely, three hedge funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Tsw Ii Capital Advisors, LLC

The company employs 6 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No 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.

Lafayette Hardwick Caldwell has been acting as President since 1 Oct 2004. Christopher James Fehr joined the executive team most recently as the Chief Operating Officer/Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mindy Freeman Wlliford	Chief financial officer	1 Oct 2001	Other	6023477
Lafayette Hardwick Caldwell	Managing member/president/ceo	1 Oct 2004	75% - 100%	1260545
Katharine Caldwell Nevin	Managing director	1 Jan 2008	Other	4424118
Christopher James Fehr	Chief operating officer/chief compliance officer	1 Oct 2011	Other	6023474
Mindy Leah Freeman	Chief financial officer	1 Oct 2011	Other	6023477
Mindy Freeman Williford	Chief financial officer	1 Oct 2011	Other	6023477

Based in Chattanooga

The principal office where Tsw Ii Capital Advisors, LLC performs its advisory services is located at 736 Market Street, Chattanooga, TN 37402, 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 423-267-1430 or by fax 423-267-5509. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.