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SWBC INVESTMENT ADVISORY SERVICES LLC
CRD 156155File 801-72669
APPROVED
Filing as of Sep 3, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
Not reported
Discretionary AUM
Not reported
Clients
2,111
Not reported accounts
Employees
9
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Sep 1, 2011
- Principal office
- 900 SOUTH CAPITAL OF TEXAS, STE 155, AUSTIN, TX, 78746
- Phone
- 717.816.4162
Assets & accounts
ADV Item 5F- Total regulatory AUM
- Not reported
- Discretionary AUM
- Not reported
- Non-discretionary AUM
- Not reported
- Discretionary accounts
- Not reported
- Non-discretionary accounts
- Not reported
- Total accounts
- Not reported
- AUM per client
- —
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Pension and profit sharing plans | 2,111 | $0 |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Other
- Portfolio management for other
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- 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
- No
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 12, 2026 | AUM | $0 | — | |
| Aug 12, 2026 | Accounts | 0 | — | |
| Apr 1, 2026 | Clients | 2,165 | 2,111 | decreased by54 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,915 | 2,165 | increased by250 |
| Mar 1, 2022 | Employees | 8 | 9 | increased by1 |
| 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.