# Southwest Investment Advisors, Inc.

> Southwest Investment Advisors, Inc. is an SEC-registered investment advisory firm in Tucson, AZ, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 312685
- Filed as: SOUTHWEST INVESTMENT ADVISORS, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Tucson, AZ
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/312685
- AdvisorCensus page: https://advisorcensus.com/firm/southwest-investment-advisors-inc-tucson-az-312685

## Quick answers

**How is Southwest Investment Advisors, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Southwest Investment Advisors, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**What does Southwest Investment Advisors, Inc.'s brochure say about its fees?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Up to $500,000: 1.25% a year; $500,001 to $1,000,000: 1% a year; $1,000,001 to $3,000,000: 0.85% a year; Above $3,000,001: 0.75% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Southwest Investment Advisors, Inc. located?**
Southwest Investment Advisors, Inc.'s principal office is in Tucson, AZ, according to its Form ADV.

**Is Southwest Investment Advisors, Inc. registered with the SEC or a state?**
Southwest Investment Advisors, Inc. is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 312685.

**How much does Southwest Investment Advisors, Inc. manage?**
Southwest Investment Advisors, Inc. reports $386,919,218 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Southwest Investment Advisors, Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Southwest Investment Advisors, Inc.: Regulatory assets under management: $209,316,883 in the October 2021 data and $386,919,218 in the October 2026 data, up 85%. Total employees: 4 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Southwest Investment Advisors, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (931); high net worth individuals (218); charitable organizations (7).

**Which custodians does Southwest Investment Advisors, Inc. use?**
Southwest Investment Advisors, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists LPL Financial LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Southwest Investment Advisors, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/312685

**What changed in Southwest Investment Advisors, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 4 to 5. Regulatory assets under management went from $325,665,484 to $386,919,218 (+19%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Up to $500,000: 1.25% a year
- $500,001 to $1,000,000: 1% a year
- $1,000,001 to $3,000,000: 0.85% a year
- Above $3,000,001: 0.75% a year

> Our fee schedule is: Under $500,000 1.25% of assets under management (AUM) Assets from $500,001 to $1,000,000 1.00% of assets under management (AUM) Assets from $1,000,001 to $3,000,000 0.85% of assets under management (AUM) Assets over $3,000,001 0.75% of assets under management (AUM)

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- LPL Financial LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $386,919,218
- Discretionary: $386,919,218
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 931 | $163,177,310 |
| High net worth individuals | 218 | $216,399,656 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 | $0 |
| Charitable organizations | 7 | $4,841,588 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 5 | $2,500,664 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2020 (5 years)
- Employees: 5 total, 5 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AL, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, MD, MI, MN, MO, NC, ND, NE, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, WA, WI, WY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- siatucson.com
- southwestinvestmentadvisors.com
- Facebook @SIATUCSON
- LinkedIn @SIATUCSON

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $209,316,883 | 4 | September 29, 2021 |
| October 2022 | $257,274,346 | 4 | March 8, 2022 |
| October 2023 | $235,267,774 | 4 | August 10, 2023 |
| October 2024 | $267,635,456 | 4 | March 29, 2024 |
| October 2025 | $325,665,484 | 4 | March 28, 2025 |
| October 2026 | $386,919,218 | 5 | March 30, 2026 |

Regulatory assets under management: $209,316,883 in the October 2021 data and $386,919,218 in the October 2026 data, up 85%.
Total employees: 4 in October 2021 and 5 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 4 to 5.
- Regulatory assets under management went from $325,665,484 to $386,919,218 (+19%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Southwest Investment Advisors, Inc. (CRD 312685): Form ADV filing data as of October 2026.