Updated:
SWBC Investment Advisory Services LLC
SWBC Investment Advisory Services LLC is an SEC-registered investment adviser in Austin, TX, registered since 2011. It has 9 employees and 6 investment...
SWBC Investment Advisory Services LLC
SWBC Investment Advisory Services LLC is an SEC-registered investment adviser in Austin, TX, registered since 2011. It has 9 employees and 6 investment advisers. The firm is headquartered in Texas.
General information
Firm type
RIA
Location
Region
North America
Country
United States
City
Austin
Corporate office
San Antonio, TX, United States
Frequently asked questions
Who runs investment decisions at SWBC Investment Advisory Services?
The firm does not publicly disclose a named CIO or lead portfolio manager. SEC ADV filings list the firm's principal executive and chief compliance officer roles, but specific investment committee members are not identified in public documents (per SEC ADV, 2024).
Is SWBC Investment Advisory Services structured as a single family office or a traditional RIA?
It is a registered investment adviser (RIA) under the Investment Advisers Act of 1940, not a family office. The firm serves a broad client base including individuals, retirement plans, and institutions, operating as a fee-based asset manager (per SEC ADV filing).
What investment strategies does SWBC Investment Advisory Services use?
The firm employs a multi-asset strategy that includes US and international equities, taxable and tax-exempt fixed income, cash, and alternative investments such as real estate and private credit. Portfolios are built using both direct security selection and third-party mutual funds/ETFs (per SEC ADV Part 2A).
Does SWBC Investment Advisory Services use managed accounts or pooled vehicles?
Yes, the firm uses both separately managed accounts and pooled investment vehicles, including mutual funds and ETFs, to implement client portfolios. The mix depends on client size and objectives (per SEC ADV Part 2A).
What is the relationship between SWBC Investment Advisory Services and SWBC's insurance business?
The advisory subsidiary is wholly owned by SWBC, a financial services holding company with roots in insurance. Many clients originate from the parent's insurance and mortgage divisions, creating a referral-based distribution model (public record).
Profile maintained by Altss using OSINT (open-source intelligence), regulatory filings, licensed data partners, and verified direct submissions. Read the methodology. Last updated: . Continuous refresh with full update cycles at least every 30 days.
Need institutional-grade insight on registered investment advisers?
Altss delivers:
Prefer a guided tour?
We’ll walk you through: