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SWBC INVESTMENT COMPANY

SAN ANTONIO, TX · CRD 140994 · IAPD ↗ · swbc.com · 210-376-3279

$256.0MRegulatory AUM
17Advisory reps
33Employees
0Clients
1-10Planning clients
1Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
April 2025 — SWBC INVESTMENT COMPANY reported RAUM down 34% ($345.8M -> $229.2M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
72
April 2024 — SWBC INVESTMENT COMPANY grew from 15 to 19 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.