# EDGAR Filing Document

**Accession Number:** 0000842373
**File Stem:** 0000842373-26-000004
**Filing Date:** 2026-3
**Character Count:** 2558
**Document Hash:** a5691539cf8cf339ff078cb219dfe488
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000842373-26-000004.hdr.sgml**: 20260302

**ACCESSION NUMBER**: 0000842373-26-000004

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20251231

**FILED AS OF DATE**: 20260302

**DATE AS OF CHANGE**: 20260302

**EFFECTIVENESS DATE**: 20260302

**PERIOD START**: 20250101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS
- **CENTRAL INDEX KEY:** 0000842373

**ORGANIZATION NAME:**
- **EIN:** 330316103
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-40494
- **FILM NUMBER:** 26703595

**BUSINESS ADDRESS:**
- **STREET 1:** 14 CORPORATE PLAZA, SUITE 210
- **CITY:** NEWPORT BEACH
- **STATE:** CA
- **ZIP:** 92660
- **BUSINESS PHONE:** 949-640-4200

**MAIL ADDRESS:**
- **STREET 1:** 14 CORPORATE PLAZA, SUITE 210
- **CITY:** NEWPORT BEACH
- **STATE:** CA
- **ZIP:** 92660

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CLAYTON WILLIAMS & SHERWOOD INVESTMENTS                 /BD
- **DATE OF NAME CHANGE:** 19881107

### Attached PDF Documents

**Attachment 1:** `cwsi_2025_annnual_report.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000842373

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** Yes

### Submission Information

**Report Period Begin Date:** 01-01-2025

**Report Period End Date:** 12-31-2025

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS

**Business Address:** 14 CORPORATE PLAZA, SUITE 210, NEWPORT BEACH, CA, 92660

**Contact Person:** Mark Ruggles

**Contact Phone:** 9496981039

### Independent Public Accountant Identification

**Accountant Name:** Bakertilly

**Accountant Address:** 66 Hudson Blvd E., Suite 2200, New York, NY, 10001

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **Mark Ruggles**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **CLAYTON, WILLIAMS & SHERWOOD INVESTMENTS**, as of **03-02-2026**, are true and correct.

**Signature:** Mark Ruggles

**Title:** Chief Compliance Officer