S
Southworth Investment Management, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$31,857,199
Clients
8
38% 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
8
Very LowAverage account size
$3,982,150
About
Southworth Investment Management, LLC provides ongoing portfolio management and investment supervisory services to a small group of individual clients, primarily identified as high-net-worth individuals. The firm manages roughly $31.9 million across eight client relationships and offers account-level Investment Policy Statements, asset allocation, and regular portfolio monitoring.
The adviser uses fundamental analysis and both long- and short-term trading strategies, generally investing in mutual funds, equities, ETFs, and REITs, and documents risk tolerance and objectives in each client’s Investment Policy Statement. While SIM may request discretionary authority to trade on clients’ behalf, a majority of the firm’s assets (about $21.9 million) are managed on a non-discretionary basis, meaning clients retain final approval for many transactions.
Compared with many single‑advisor independent firms, SIM’s mix of primarily non‑discretionary assets is notable, and the firm operates with a very small client roster and no account minimum. The sole adviser reviews client accounts at least monthly, allows clients to direct brokerage and uses custodians such as Schwab Institutional and KeyBank, and does not accept proxy‑voting authority for client securities.
Client services
Portfolio management
Expertise
Wealth management
Real estate investing
Fee options
$0 - $2,000,000: 1.25% $2,000,001 - $5,000,000: 0.75% $5,000,001 - $10,000,000: 0.50% $10,000,001+: 0.40%
Main office location
Southworth Investment Management, LLC
Westlake OH, United States
Number of offices
1
Most active in
Southworth Investment Management, LLC has reported serving >5 clients in these states in the last 12 months.
Ohio
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.
Forms ADV
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