SWBC INVESTMENT COMPANY
Adviser information for SWBC INVESTMENT COMPANY last updated from Form ADV on March 28th, 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 | Texas, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 35 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 250 | $345.8M |
| Non-Discretionary | 0 | $0 |
| Total | 250 | $345.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 149 | $11.6M |
| HNW Individuals | 63 | $145.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $8.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 26 | $126.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 11 | $53.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agentSUB ADVISER FOR FUND COMPANY |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 156.4M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SWBC WRAP FEE PROGRAM | SWBC INVESTMENT COMPANY |
Identifiers
| SEC RIA File Number | 801-68054 |
|---|---|
| SEC ERA File Number | 801-68054 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 140994 |
| Legal Entity Identifier | None |
Principal Office
9311 SAN PEDRO AVENUESUITE 600
SAN ANTONIO
TX
United States
Monday - Friday, 8 AM TO 5 PM CT
Tel: 210-376-3279, Fax: 210-635-1201
Websites
Chief Compliance Officer
ALEJANDRO IRETA
DIRECTOR OF OPERATIONS
9311 SAN PEDRO
SUITE 600
SAN ANTONIO
TX
United States
Tel:
210-879-9589
Fax:
210-635-1203
A**************@*******M
(Full email address available in API data)
Regulatory Contact
ALEX IRETA
DIRECTOR OF COMPLIANCE
9311 SAN PEDRO
SUITE 600
SAN ANTONIO
TX
United States
Tel:
210-879-9589
A**************@*******M
(Full email address available in API data)
Industry Affiliates
| SWBC INVESTMENT ADVISORY SERVICES LLC | Other investment adviser, including financial plannersPension consultant |
| SWBC INVESTMENT SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SWBC CPG FUND I, LP | Private Equity Fund | $3.0M | $0.0M | 8 |
| SWBC RE FUND LP | Real Estate Fund | $123.6M | $1.0M | 18 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SWBC CORPORATION | Domestic Entity | – | 100% OWNER | 06/1991 | > 75% |
| AMATO, CHARLES, EPIFANIO | Individual | – | CHAIRMAN OF THE BOARD OF DIRECTORS | 07/1991 | < 5% |
| DUDLEY, GARY, LEE | Individual | – | DIRECTOR, VICE PRESIDENT, SECRETARY & TREASURER | 07/1991 | < 5% |
| AMATO, CHARLES, EPIFANIO | Individual | SWBC CORPORATION | 50% OWNER, CHAIRMAN AND CEO | 04/1976 | 50-75% |
| DUDLEY, GARY, LEE | Individual | SWBC CORPORATION | 50% OWNER, PRESIDENT | 04/1976 | 50-75% |
| IRETA, ALEJANDRO, G | Individual | – | DIRECTOR OF COMPLIANCE | 07/2020 | < 5% |
| IRETA, ALEJANDRO, G | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2023 | < 5% |
| RYKERT, DONALD, SCOTT | Individual | – | CEO | 12/2023 | < 5% |