SWBC INVESTMENT ADVISORY SERVICES LLC
Adviser information for SWBC INVESTMENT ADVISORY SERVICES LLC last updated from Form ADV on March 26th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 57 | $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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 57 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Pension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-72669 |
|---|---|
| SEC ERA File Number | 801-72669 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156155 |
| Legal Entity Identifier | None |
Principal Office
900 SOUTH CAPITAL OF TEXASSTE 155
AUSTIN
TX
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 512-807-2606, Fax: 210-635-1201
Chief Compliance Officer
CHRISTOPHER BRANCAZIO
900 SOUTH CAPITAL OF TEXAS
SUITE 155
AUSTIN
TX
United States
Tel:
732-996-4345
C********************@************M
(Full email address available in API data)
Regulatory Contact
RICHARD T. ALLISON
CEO
900 SOUTH CAPITAL OF TEXAS
SUITE 155
AUSTIN
TX
United States
Tel:
512-574-9501
R*******@*******M
(Full email address available in API data)
Industry Affiliates
| SWBC INVESTMENT COMPANY | Other investment adviser, including financial planners |
| SWBC INVESTMENT SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALLISON, RICHARD, THOMPSON | Individual | – | CHIEF EXECUTIVE OFFICER/ MANAGING MEMBER | 03/2011 | < 5% |
| SOUTHWEST BUSINESS CORPORATION | Domestic Entity | – | MEMBER | 03/2011 | > 75% |
| DUDLEY, GARY, LEE | Individual | SOUTHWEST BUSINESS CORPORATION | MANAGING MEMBER | 03/2011 | 50-75% |
| AMATO, CHARLES, EPIFANIO | Individual | SOUTHWEST BUSINESS CORPORATION | MANAGING MEMBER | 03/2011 | 50-75% |
| BRANCAZIO, CHRISTOPHER, JOHN | Individual | – | CCO | 11/2022 | < 5% |