S. Williams Capital, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$17,450,065
Clients
17
71% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
17
LowAverage account size
$1,026,474
About
S. Williams Capital provides discretionary investment advisory services principally to individual and high-net-worth clients, managing accounts under a single investment strategy that the firm applies across client portfolios. The firm requires written discretionary authorization and does not participate in wrap fee programs.
The firm’s investment approach emphasizes value-driven equity selection complemented by event-driven and risk arbitrage positions, using fundamental analysis and probability-weighted expected-value analysis. Implementation may include short selling, the use of margin and other borrowing, and exposure to derivatives and futures as part of its trading and hedging activity.
What distinguishes the firm from many peers is its use of performance-based fee arrangements for qualified clients alongside management-fee-only accounts, and corresponding policies intended to address potential conflicts from side-by-side management. The adviser also invests its own and related persons’ capital alongside client accounts and maintains a policy that generally does not permit client-imposed restrictions on specific securities.
Client services
Portfolio management
Expertise
Active portfolio management
Options & derivatives strategies
Concentrated stock management
Fee options
1.0% annual (0.25% quarterly) management fee
10% annually for qualified clients
Account minimum: $50,000
Main office location
S. Williams Capital, LLC
5 West 37 Th Street, 6 Th Floor
New York NY 10018, United States
Number of offices
1
Most active in
S. Williams Capital, LLC has reported serving >5 clients in these states in the last 12 months.
Georgia · New York
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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