AWM CAPITAL, LLC: Investment Adviser Form ADV Filing

How this adviser has changed

Annual filings

Regulatory assets under management

Up to five fiscal years, using the latest annual update available at the selected filing date. Asset changes can reflect acquisitions, client flows, and valuations; they are not investment returns.

Annual adviser history and sources
Fiscal year	Regulatory AUM	Employees	Filed
2021	$432,604,263	24	Mar 23, 2022
2022	$530,893,901	21	Mar 28, 2023

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
High-net-worth individuals	154	$466,472,888	87.9%
Individuals	178	$63,612,410	12.0%
Other investment advisers	3	$525,832	0.1%
Corporations & businesses	1	$249,586	0.0%
Charities	1	$33,185	0.0%

Filing source

Form ADV 1776770 · Jul 27, 2023 · Item 5.D

Reported by AWM CAPITAL, LLC (CRD 287980).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

CITY NATIONAL BANK

Custodian · funds reporting this exact name in the selected filing

These are reported-name connections within this adviser's filing, not a verified global provider identity or market-wide client count.

Private funds & service providers

5 detailed fund records

Largest reported gross asset value first; unreported values last. Gross asset value is fund-level disclosure, distinct from adviser AUM and Form D fundraising. Master and feeder funds may overlap.

AWM VENTURE FUND III, LLCVenture Capital Fund$7.88MGross asset value

Search Form D filings →

Auditor FRANK, RIMERMAN + CO. LLP PALO ALTO, California, United States Other funds reporting this name →

Custodian CITY NATIONAL BANK CARLSBAD, California, United States Related to adviser: No Other funds reporting this name →

Provider details

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

FRANK, RIMERMAN + CO. LLP
PCAOB 1596

Fund details & source

Fund ID: 805-1814933481
Reported beneficial owners: 23
Minimum commitment: $5K

Form ADV 1776770 · Jul 27, 2023 · Schedule D 7.B.(1)

Reported by AWM CAPITAL, LLC (CRD 287980).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

AWM VENTURE FUND II, LLCVenture Capital Fund$3.62MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

AWM Venture Fund II, LLC

Auditor FRANK, RIMERMAN + CO. LLP PALO ALTO, California, United States Other funds reporting this name →

Custodian CITY NATIONAL BANK CARLSBAD, California, United States Related to adviser: No Other funds reporting this name →

Provider details

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

FRANK, RIMERMAN + CO. LLP
PCAOB 1596

Fund details & source

Fund ID: 805-4140123649
Reported beneficial owners: 35
Minimum commitment: $5K
Form D file number: 021-406686

Form ADV 1776770 · Jul 27, 2023 · Schedule D 7.B.(1)

Reported by AWM CAPITAL, LLC (CRD 287980).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

AWM VENTURE FUND I LLCVenture Capital Fund$3.51MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

AWM Venture Fund I, LLC

Auditor FRANK RIMMERMAN + CO. LLP PALO ALTO, California, United States Other funds reporting this name →

Custodian CITY NATIONAL BANK CARLSBAD, California, United States Related to adviser: No Other funds reporting this name →

Provider details

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

FRANK RIMMERMAN + CO. LLP
PCAOB 1596

Fund details & source

Fund ID: 805-2018289244
Reported beneficial owners: 16
Minimum commitment: $5K
Form D file number: 021-349856

Form ADV 1776770 · Jul 27, 2023 · Schedule D 7.B.(1)

Reported by AWM CAPITAL, LLC (CRD 287980).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

AWM VENTURE OPPORTUNITY FUND I LLCVenture Capital Fund$1.27MGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

AWM Venture Opportunity Fund I LLC

Auditor FRANK, RIMERMAN + CO. LLP PALO ALTO, California, United States Other funds reporting this name →

Custodian CITY NATIONAL BANK CARLSBAD, California, United States Related to adviser: No Other funds reporting this name →

Provider details

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

FRANK, RIMERMAN + CO. LLP
PCAOB 1596

Fund details & source

Fund ID: 805-4023163303
Reported beneficial owners: 25
Minimum commitment: $5K
Form D file number: 021-370275

Form ADV 1776770 · Jul 27, 2023 · Schedule D 7.B.(1)

Reported by AWM CAPITAL, LLC (CRD 287980).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

AWM VENTURES SPV IIIVenture Capital Fund$250KGross asset value

Form D fundraising filings

View filings for the issuer linked by this fund’s reported Form D file numbers.

AWM Ventures SPV III Dec 2021 a Series of CGF2021 LLC

Auditor FRANK, RIMERMAN + CO. LLP PALO ALTO, California, United States Other funds reporting this name →

Provider details

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

FRANK, RIMERMAN + CO. LLP
PCAOB 1596

Fund details & source

Fund ID: 805-5167345053
Reported beneficial owners: 15
Minimum commitment: $1K
Form D file number: 021-431205

Form ADV 1776770 · Jul 27, 2023 · Schedule D 7.B.(1)

Reported by AWM CAPITAL, LLC (CRD 287980).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Services & filing details

View a filing

Showing values from the selected filing. Latest observed filing does not establish current registration status.

What changed?

Since Apr 4, 2023 · previous imported filing

No comparable changes in the displayed metrics.

Filing source

Form ADV 1776770 · Jul 27, 2023 · Items 1 & 5

Reported by AWM CAPITAL, LLC (CRD 287980).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.

Management of assets

Discretionary: $531M
Non-discretionary: $0

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management

Compensation

Percentage of assets · Hourly · Fixed

Principal office

1 N. 1ST STREET, SUITE 700
PHOENIX, AZ, 85004, United States

CRD 287980

Filing source

Form ADV 1776770 · Jul 27, 2023 · Items 1 & 5

Reported by AWM CAPITAL, LLC (CRD 287980).

Other-Than Anual Amendment For Registered Adviser.

Official IAPD profile (latest public filing). Historical values on this page come from the SEC/IAPD filing archive; the public profile may show a newer filing.