Transwestern Capital Advisors, LLC
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Overview
Transwestern Capital Advisors, LLC operates as a financial advisor company based in Newport, Rhode Island. Transwestern Capital Advisors, LLC administers $117.2 million in assets across two customer accounts, placing it in the mid-tier of firms in the nation by assets under management (AUM). It has a small group, including 1 financial advisor. Transwestern Capital Advisors, LLC is not a registered broker-dealer, meaning it cannot buy and sell securities for its own accounts as well as its clients' and instead is required to go through a broker-dealer firm to do so. Securities are defined as exchangable fiscal investments like options, equities and bonds.
Transwestern Capital Advisors, LLC administers all of the firm's accounts on a discretionary basis. Discretionary management is a structure in which an investment advisor has the discretion to make transaction decisions for the client's account without needing to seek client consent. The advisory firm administers an average of $58.6 million in assets for every client account. An average financial advisor at Transwestern Capital Advisors, LLC manages around two client accounts, making it one of the most personalized advisor firms in the country.
The company's headquarters is located at 37 Bellevue Avenue, Newport, Rhode Island 2840. The company is legally registered to provide services to clients throughout a few states, including Colorado and Rhode Island.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Transwestern Capital Advisors, LLC by the Numbers
$117.2 million
1
2
$58.6 million
Fee Structure
Fees charged by financial advisors largely depend on which services are provided. However, fee types charged by Transwestern Capital Advisors, LLC can be comprised of some combination of the following fee structures: asset-based or fixed. Transwestern Capital Advisors, LLC does not supply a wrap fee program, in which the company offers a service bundle for a single fee.
Available
-
Offered by 69% of firms
Percentage of Assets
-
Offered by 32% of firms
Fixed
Unavailable
-
Find one of the 21% of firms that offer this fee type
Hourly
-
Find one of the 1% of firms that offer this fee type
Commissions
-
Find one of the 26% of firms that offer this fee type
Performance-based
-
Find one of the 0% of firms that offer this fee type
Subscription
-
Find one of the 10% of firms that offer this fee type
Other
Types of Clients
It provides services to investment companies. Out of its two accounts, Transwestern Capital Advisors, LLC's biggest client type is investment companies. None of its customers are from outside of the U.S.
- High-Net-Worth Individuals* - 0%
- Other Individuals - 0%
- Corporations - 100%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Transwestern Capital Advisors, LLC does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Transwestern Capital Advisors, LLC
Newport, RI
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