Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by One William Street Capital Management, LP.
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
DAVID NEAL SHERRDirect owner · Schedule AInterest in ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.
50% to < 75%
MATTHEW JED ZIFFERDirect owner · Schedule AInterest in ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.
5% to < 10%
SHERR FAMILY INVESTMENTS, LLCDirect owner · Schedule AInterest in ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.
5% to < 10%
JOSHUA DAVID SIMONSDirect owner · Schedule AInterest in ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.
5% to < 10%
KURT ANTHONY LOCHERDirect owner · Schedule AInterest in ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.
< 5%
FRANK CARMEN PREZIOSODirect owner · Schedule AInterest in ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.
< 5%
ONE WILLIAM STREET CAPITAL HOLDINGS, LLCDirect owner · Schedule AInterest in ONE WILLIAM STREET CAPITAL MANAGEMENT, LP.
< 5%
DAVID NEAL SHERRIndirect owner · Schedule BInterest in ONE WILLIAM STREET CAPITAL HOLDINGS, LLC
75%+
DAVID N. SHERR 2012 DESCENDANTS' TRUSTIndirect owner · Schedule BInterest in SHERR FAMILY INVESTMENTS, LLC
50% to < 75%
SHERR FAMILY INVESTMENTS IV LLCIndirect owner · Schedule BInterest in HOLLY A. SHERR 2012 DESCENDANTS' TRUST
50% to < 75%
HOLLY A. SHERR 2012 DESCENDANTS' TRUSTIndirect owner · Schedule BInterest in SHERR FAMILY INVESTMENTS, LLC
25% to < 50%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to One William Street Capital Management, LP..
Reported ownership and control details
Form ADV · Filing date 2026-03-31 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | DAVID NEAL SHERRLIMITED PARTNER/CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICERIndividual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | 50% to less than 75%Code D | Yes | LIMITED PARTNER/CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER04/2008 | Schedule APDF page 76 |
| 2 | KURT ANTHONY LOCHERLIMITED PARTNER/CO-PRESIDENTIndividual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | Less than 5%Code NA | Yes | LIMITED PARTNER/CO-PRESIDENT04/2008 | Schedule APDF page 76 |
| 3 | FRANK CARMEN PREZIOSOLIMITED PARTNER/DEPUTY CHIEF INVESTMENT OFFICERIndividual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | Less than 5%Code NA | Yes | LIMITED PARTNER/DEPUTY CHIEF INVESTMENT OFFICER04/2008 | Schedule APDF page 76 |
| 4 | MATTHEW JED ZIFFERLIMITED PARTNER/EXECUTIVE OFFICERIndividual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | 5% to less than 10%Code A | Yes | LIMITED PARTNER/EXECUTIVE OFFICER04/2008 | Schedule APDF page 76 |
| 5 | CHRISTOPHER ROBINSON EPESCHIEF LEGAL OFFICERIndividual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | Less than 5%Code NA | Yes | CHIEF LEGAL OFFICER05/2008 | Schedule APDF page 76 |
| 6 | ONE WILLIAM STREET CAPITAL HOLDINGS, LLCGENERAL PARTNERDomestic entity | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | Less than 5%Code NA | Yes | GENERAL PARTNER04/2008 | Schedule APDF page 76 |
| 7 | SHERR FAMILY INVESTMENTS, LLCLIMITED PARTNERDomestic entity | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | 5% to less than 10%Code A | No | LIMITED PARTNER12/2012 | Schedule APDF page 76 |
| 8 | JOSHUA DAVID SIMONSLIMITED PARTNER/CO- PRESIDENT/EXECUTIVE OFFICERIndividual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | 5% to less than 10%Code A | Yes | LIMITED PARTNER/CO- PRESIDENT/EXECUTIVE OFFICER01/2015 | Schedule APDF page 76 |
| 9 | ARTHUR CONSTANTINE DAMOULAKISCHIEF COMPLIANCE OFFICERIndividual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER08/2025 | Schedule APDF page 76 |
| 10 | CRYSTAL KELYN FRUMBERGCHIEF FINANCIAL OFFICERIndividual | ONE WILLIAM STREET CAPITAL MANAGEMENT, LP. | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER11/2025 | Schedule APDF page 76 |
| 11 | DAVID NEAL SHERRMANAGING MEMBER/OWNERIndividual | ONE WILLIAM STREET CAPITAL HOLDINGS, LLC | 75% or moreCode E | Yes | MANAGING MEMBER/OWNER04/2008 | Schedule BPDF page 76 |
| 12 | DAVID N. SHERR 2012 DESCENDANTS' TRUSTMEMBERDomestic entity | SHERR FAMILY INVESTMENTS, LLC | 50% to less than 75%Code D | Yes | MEMBER12/2012 | Schedule BPDF page 76 |
| 13 | HOLLY ANN SHERRCO-TRUSTEEIndividual | DAVID N. SHERR 2012 DESCENDANTS' TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE12/2012 | Schedule BPDF page 76 |
| 14 | KURT ANTHONY LOCHERCO-TRUSTEEIndividual | DAVID N. SHERR 2012 DESCENDANTS' TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE12/2012 | Schedule BPDF page 77 |
| 15 | HOLLY A. SHERR 2012 DESCENDANTS' TRUSTMEMBERDomestic entity | SHERR FAMILY INVESTMENTS, LLC | 25% to less than 50%Code C | Yes | MEMBER12/2012 | Schedule BPDF page 77 |
| 16 | DAVID NEAL SHERRCO-TRUSTEEIndividual | HOLLY A. SHERR 2012 DESCENDANTS' TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE12/2012 | Schedule BPDF page 77 |
| 17 | KURT ANTHONY LOCHERCO-TRUSTEEIndividual | HOLLY A. SHERR 2012 DESCENDANTS' TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE12/2012 | Schedule BPDF page 77 |
| 18 | SHERR FAMILY INVESTMENTS IV LLCMEMBERDomestic entity | HOLLY A. SHERR 2012 DESCENDANTS' TRUST | 50% to less than 75%Code D | Yes | MEMBER11/2021 | Schedule BPDF page 77 |
| 19 | KURT ANTHONY LOCHERMANAGERIndividual | SHERR FAMILY INVESTMENTS IV LLC | Percentage not specifiedCode F | Yes | MANAGER11/2021 | Schedule BPDF page 77 |
| 20 | COMMONWEALTH TRUST COMPANYCO-TRUSTEEDomestic entity | DAVID N. SHERR 2012 DESCENDANTS' TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE12/2012 | Schedule BPDF page 77 |
| 21 | COMMONWEALTH TRUST COMPANYCO-TRUSTEEDomestic entity | HOLLY A. SHERR 2012 DESCENDANTS' TRUST | Percentage not specifiedCode F | Yes | CO-TRUSTEE12/2012 | Schedule BPDF page 77 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 3/31/2026 12:21:35 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.