SOUTHWEST INVESTMENT ADVISORS, INC.
Adviser information for SOUTHWEST INVESTMENT ADVISORS, INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Arizona, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,182 | $267.6M |
| Non-Discretionary | 0 | $0 |
| Total | 1,182 | $267.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,023 | $140.8M |
| HNW Individuals | 150 | $122.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $1.4M |
| Charitable organizations | <5 | $1.8M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $1.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1182 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Registered representative of a broker-dealer |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 267.6M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SOUTHWEST INVESTMENT ADVISORS WRAP PROGRAM | SOUTHWEST INVESTMENT ADVISORS, INC. |
Identifiers
| SEC RIA File Number | 801-120406 |
|---|---|
| SEC ERA File Number | 801-120406 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312685 |
| Legal Entity Identifier | None |
Principal Office
7594 N LA CHOLLATUCSON
AZ
United States
Monday - Friday, M-TH: 7:00 AM-4:00 PM, FRI.: 7:00 AM-2PM
Tel: 520-544-2500, Fax: None
Chief Compliance Officer
RICHARD ZICH
PRESIDENT
7594 N. LA CHOLLA BLVD.
TUCSON
AZ
United States
Tel:
520-544-2500
Fax:
(520) 544-0499
R***@************M
(Full email address available in API data)
Regulatory Contact
LISA ROTH
COMPLIANCE CONSULTANT
630 FIRST AVE
SAN DIEGO
CO
United States
Tel:
6198469499
L****@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KUSLER, ALEXANDRA, FARQUHAR | Individual | – | SHAREHOLDER | 12/2020 | 50-75% |
| Zich, Richard, John | Individual | – | PRESIDENT, CCO | 12/2020 | 50-75% |