Swbc Investment Advisory Services LLC (Austin)

Swbc Investment Advisory Services LLC is a pension cosultant based in Austin. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdiction of Texas.

Swbc Investment Advisory Services provides pension consulting services and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Swbc Investment Advisory Services LLC for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Swbc Investment Advisory Services serves?

The only and largest group of clients of Swbc Investment Advisory Services is pension and profit sharing plans with 2,172 clients and $0 of assets under management. Among the 3 most similar advisory firms, Swbc Investment Advisory Services has the highest percentage of pension and profit sharing plans out of all clients.

None of the firm’s clients are foreign persons or businesses.

Swbc Investment Advisory Services doesn't advise any private funds.

Careers at Swbc Investment Advisory Services LLC

The company employs 9 people that are either part- or full-time employees. 78 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Ann Marie Swanson joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Thompson Allison	Chief executive officer/ managing member	1 Mar 2011	Other	719122
Jacob Daniel Palmer	Chief compliance officer	1 Mar 2011	Other	2309603
Southwest Business Corporation	Member	1 Mar 2011	75% - 100%	75-15537396
Ann Marie Swanson	Chief compliance officer	1 Feb 2017	Other	4684405

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Gary Lee Dudley	Managing member	1 Mar 2011	50% - 75%	2164756
Charles Epifanio Amato	Managing member	1 Mar 2011	50% - 75%	2070458

Based in Austin

The principal office where Swbc Investment Advisory Services LLC performs its advisory services is located at 900 South Capital Of Texas, Austin, TX 78746, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 512-807-2606 or by fax 210-635-1201. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday.