Overview
This Disclosure document is being offered to you in connection with the investment advisory
services provided by TransWestern Capital Advisors, LLC to educate you with information about
the services we provide and the manner in which those services are made available to you, the
client.
Our principal service is providing fee-based investment advisory services to banks. Specifically,
the firm supports bank management responsible for investing the fixed income portfolio of the
bank. Our firm, located in Newport, Rhode Island, has been in business since 2006, and is 100%
owned by Kendrik de Koning.
Investment Portfolio Advisory
Our firm practices custom management of portfolios on a discretionary and non-discretionary
basis, according to the client’s objectives. Our primary approach is to invest in high-quality
investment grade securities to enhance income and assist in managing toward risk targets identified
by our clients. We use corporate debt securities, municipal securities, United States government
securities, mortgage-backed securities, and collateralized mortgage obligations to accomplish this
objective.
We take a top-down view of the investment process that starts with an assessment of the risk profile
of the entire balance sheet, then proceed to identify solutions to meet risk-tolerance and
performance targets set by the Asset Liability/Committee (ALCO) and management. We support
decision making, not replace management, thereby making the CEO and CFO more efficient in
their roles, while leaving them in complete control of the process, resulting in improved
performance across the entire institution.
TransWestern Fund
Our firm serves as investment advisor to an Investment Company: the Northern Lights Fund Trust,
which has retained our Firm as an Advisor to the TransWestern Institutional Short Duration
Government Bond Fund – NASDAQ ticker TWSGX. The fund is designed for state and nationally
chartered banks and credit unions. One hundred percent of this fund’s assets are in liquid, high
quality, fixed and variable US government and government agency bonds, with risk weightings of
0-20%. The fund is prohibited from purchasing whole loans, whole loan CMOs, or corporate
bonds. Dividends are paid monthly to the investors/shareholders. In its capacity to the
TransWestern Institutional Short Duration Government Bond Fund, the Firm has retained a sub
advisor who is charged with the day-to-day execution of the investment strategy of the fund as
described in the prospectus. Information concerning this fund, including a description of the
services to be provided by and advisory fees payable to us, would be contained in each fund's
prospectus.
General Information on Advisory Services
TransWestern Capital Advisors, LLC does not represent, warrant, or imply that the services or
methods of analysis employed by the firm can or will predict future results, successfully identify
market tops or bottoms, or insulate clients from losses due to market corrections or declines.
Wrap Fee Programs
We do not place Client assets into a wrap fee program.
Assets
As of December 31, 2023, the advisor managed $83,530,216 on a discretionary basis and
$32,515,000 on a non-discretionary basis.