# SWBC Investment Advisory Services LLC

SWBC Investment Advisory Services LLC is a RIA based in Austin, United States.

## Overview

- **Organization type:** RIA
- **Headquarters:** Austin, United States
- **Region:** North America
- **Address:** San Antonio, TX, United States
- **Assets under management:** Undisclosed
- **Website:** swbc.com

## Regulatory record

- **CRD number:** 156155
- **SEC file number:** 801-72669
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/156155

## About

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.

## 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).

### 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).

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Last updated: 2026-06-03T20:00:00.000Z

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