Broker-dealer firm · SAN Antonio, TX
Swbc Investment Company
SEC-registered investment adviser · CRD 140994 · SEC 801-68054
At a glance
Swbc Investment Company is an SEC-registered investment adviser based in SAN Antonio, Texas, with $256 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 470 individual clients. By Form ADV it is a broker-dealer firm, ranked 270th of 391 broker-dealer firms and 10,962nd of 17,210 SEC-registered advisers by assets.
Main office 210-376-3279swbc.comAs filed on Form ADV
- Regulatory AUM
- $256M
- Rank among broker-dealer firms
- #270 of 391
- Rank among all SEC RIAs
- #10,962 of 17,210
- Rank in Texas
- #717 of 1,081
- Individual clients
- 470
- High-net-worth clients
- 79
- Accounts
- 494
- Discretionary
- 77% of AUM
- Employees
- 33
- Advisory staff
- 17
- Offices
- 4
Owners and executives on its Form ADV
- Charles E. AmatoChairman of the Board of Directors
- Gary L. DudleyDirector, Vice President, Secretary & Treasurer
- Alejandro G IretaChief Operating Officer
- Alejandro G IretaChief Compliance Officer
- Donald S. RykertCEO
Custody and brokerage
Broker-dealer
Hybrid RIA
Swbc Investment Company is a hybrid RIA: 28 of its employees are also registered representatives of a 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 |
|---|---|---|---|
| High-net-worth individuals | 79 | $178M | 70% |
| Other | 16 | $52M | 20% |
| Individuals | 391 | $19M | 8% |
| Pooled investment vehicles | 8 | $6M | 2% |
Private funds
Swbc Investment Company reports 1 private funds with $6M in gross assets: private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Swbc Investment Company reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗swbc.com ↗
AtlasMembers
The full record on Swbc Investment Company
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
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- Growth over one, three and five years
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- Rank against 158 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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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 Company manage?
Swbc Investment Company reports $256 million in regulatory assets under management across 494 accounts, 77% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Swbc Investment Company?
Swbc Investment Company is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Swbc Investment Company’s clients?
By assets, its largest client types are high-net-worth individuals ($178 million, 79 clients); other ($52 million, 16 clients); individuals ($19 million, 391 clients).
Does Swbc Investment Company manage private funds?
Yes. It reports 1 private funds with $6 million in gross assets, including private equity funds.
Does Swbc Investment Company have any disciplinary history?
Swbc Investment Company 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 Company’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 (2026-03-31), 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 →