Swbc Investment Company

RIASEC Registered

Total AUM

$594M

Discretionary

$228M

38% of AUM

Avg account

$1.5M

Accounts

393

Employees

Advisory reps

Firm details

Headquarters: San Antonio, Texas
CRD number: 140994
Registered since: June 25, 2007
Website: www.swbc.com
Custodians: PERSHING LLC, CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types: Other60.59%
HNWI35.12%
Individuals3.24%
Pooled Investment Vehicles1.05%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Swbc Investment Company is a corporate investment adviser that serves both individual/family and institutional clients and is registered with the SEC (registered in 2007). The firm functions as a capital allocator and offers a mix of advisory and brokerage services—its business activities include operating as a broker-dealer, acting as a registered representative of a broker-dealer, insurance brokerage, and selling other financial products. On the advisory side the firm provides financial planning, portfolio management for individuals, small businesses and institutions, pension consulting and manager selection, and runs educational seminars and workshops. Fee arrangements are varied (percentage of AUM, hourly, fixed fees and other structures), and the firm identifies itself as an active ESG investor.