Swbc Investment Advisory Services LLC
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Learn more about Swbc Investment Advisory Services LLC
Overview
Swbc Investment Advisory Services LLC operates as a financial advisor company that has its headquarters in Austin, Texas. The firm has a small team, including 7 financial advisors. Swbc Investment Advisory Services LLC is not a registered broker-dealer, meaning the company is not able to buy and sell securities for its accounts and those of its customers and instead must go through a broker-dealer company to do so. Securities are tradable financial assets like stocks, bonds and options.
The firm's central office is located at 900 South Capital Of Texas, Austin, Texas 78746. The company is registered to serve clients in the state of Texas.
Editorial note: In certain cases, advisors and firms can file as exempt reporting advisors with the SEC, meaning they file an abridged version of the Form ADV. As a result, this is all of the publicly available information for Swbc Investment Advisory Services LLC. Please visit the SEC website for more information at https://www.sec.gov
Number of Advisors
Disclosures
Office Location
Swbc Investment Advisory Services LLC by the Numbers
8
Products and Services
Financial services offered by Swbc Investment Advisory Services LLC include pension consulting services and educational seminars. Notably, Swbc Investment Advisory Services LLC did not provide any of its customers with financial planning services in the previous fiscal year. The company is not involved in selling products or offering services other than investment advice to its investment advisory accounts. The firm is affiliated with a number of other service providers in the financial services industry, including with a broker-dealer or securities dealer.
Core Advisor Services
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Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Offered by 6% of firms
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees charged by financial advisors largely vary depending on which services are provided. However, fee types billed by Swbc Investment Advisory Services LLC can include some combination of the following fee types: asset-based or fixed. The firm does not participate in a wrap fee program, in which the firm offers a service bundle for a comprehensive fee.
Available
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Offered by 69% of firms
Percentage of Assets
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Offered by 32% of firms
Fixed
Unavailable
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Find one of the 21% of firms that offer this fee type
Hourly
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Find one of the 1% of firms that offer this fee type
Commissions
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Find one of the 26% of firms that offer this fee type
Performance-based
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Find one of the 0% of firms that offer this fee type
Subscription
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
Swbc Investment Advisory Services LLC provides services to pension plans. Swbc Investment Advisory Services LLC's largest client group is pension plans. None of its clients are represented by people from outside of the U.S.
- High-Net-Worth Individuals* - 0%
- Other Individuals - 0%
- Corporations - 100%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Swbc Investment Advisory Services LLC does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Swbc Investment Advisory Services LLC
Austin, TX
Austin, TX
Austin, TX
Austin, TX
Austin, TX
Austin, TX
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The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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