Asset manager · Austin, TX
Swbc Investment Advisory Services LLC
SEC-registered investment adviser · CRD 156155 · SEC 801-72669
At a glance
Swbc Investment Advisory Services LLC is an SEC-registered investment adviser based in Austin, Texas, with $0 in regulatory assets under management as of its Form ADV filed September 3, 2026. By Form ADV it is a asset manager, ranked 2,645th of 3,218 asset managers and 16,623rd of 17,210 SEC-registered advisers by assets.
Main office 717-816-4162swbc.comAs filed on Form ADV
- Regulatory AUM
- $0M
- Rank among asset managers
- #2,645 of 3,218
- Rank among all SEC RIAs
- #16,623 of 17,210
- Rank in Texas
- #1,061 of 1,081
- Clients
- 2,111
- Accounts
- 0
- Discretionary
- 0% of AUM
- Employees
- 9
- Advisory staff
- 6
- Offices
- 4
Owners and executives on its Form ADV
- Bradley D. FergusonCeo/managing Member
- Deborah A. HopkinsCCO
- Gary L. DudleyPresident
- Charles E. AmatoChairman
Custody and brokerage
Custodian
Swbc Investment Advisory Services LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: Swbc Investment Services, LLC.
- Swbc Investment Services, LLC ↗CRD 133715
An introducing broker-dealer: its trades clear through Pershing, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 2,111 | $0M | – |
Disciplinary disclosures
Swbc Investment Advisory Services LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Pension consulting
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗swbc.com ↗
AtlasMembers
The full record on Swbc Investment Advisory Services LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 626 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Swbc Investment Advisory Services LLC manage?
Swbc Investment Advisory Services LLC reports $0 in regulatory assets under management, on its Form ADV filed September 3, 2026.
What kind of firm is Swbc Investment Advisory Services LLC?
Swbc Investment Advisory Services LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Swbc Investment Advisory Services LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($0, 2,111 clients).
Does Swbc Investment Advisory Services LLC have any disciplinary history?
Swbc Investment Advisory Services LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Swbc Investment Advisory Services LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-03), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →