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SWBC INVESTMENT COMPANY
CRD 140994File 801-68054
APPROVED
Retail clients
Custody
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$256.0M
Below cohort median (national)
Discretionary AUM
$197.5M
Non-discretionary $58.5M
Clients
478
494 accounts
Employees
33
Below cohort median in TX
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Jun 25, 2007
- Principal office
- 9311 SAN PEDRO AVENUE, SUITE 600, SAN ANTONIO, TX, 78216-4459
- Phone
- 210-376-3279
- Website
- HTTPS://WWW.SWBC.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $256.0M
- Discretionary AUM
- $197.5M
- Non-discretionary AUM
- $58.5M
- Discretionary accounts
- 470
- Non-discretionary accounts
- 24
- Total accounts
- 494
- AUM per client
- $535K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 79 | $178.1M |
| Pooled investment vehicles | 8 | $6.2M |
| Individuals (other than high net worth individuals) | 391 | $19.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Hourly charges
- Other (described) — ADVISOR TO ERISA PLANS AS 3(21) FIDUCIARY
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 494 | 478 | decreased by16 |
| Apr 1, 2026 | Employees | 28 | 33 | increased by5 |
| Apr 1, 2026 | Clients | 406 | 494 | increased by88 |
| Apr 1, 2026 | AUM | $229,193,705 | $255,957,289 | increased by$26,763,584 |
| Apr 1, 2026 | Accounts | 406 | 494 | increased by88 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 45 | 28 | decreased by17 |
| May 1, 2025 vs Oct 1, 2022 | Custody | No | Yes | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 327 | 406 | increased by79 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $205,021,000 | $229,193,705 | increased by$24,172,705 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 337 | 406 | increased by69 |
| May 1, 2022 | Clients | 273 | 327 | increased by54 |
| May 1, 2022 | AUM | $180,308,000 | $205,021,000 | increased by$24,713,000 |
| May 1, 2022 | Accounts | 273 | 337 | increased by64 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SWBC INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SWBC INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.