# SWBC Investment Advisory Services LLC

> SWBC Investment Advisory Services LLC is an SEC-registered investment advisory firm in Austin, TX, registered since 2011, with no regulatory assets under management reported in its Form ADV filing dated September 3, 2026.

- CRD: 156155
- Filed as: SWBC INVESTMENT ADVISORY SERVICES LLC
- Also doing business as: SWBC RETIREMENT PLAN SERVICES
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Austin, TX
- Filing period: October 2026
- Form ADV filing dated: September 3, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/156155
- AdvisorCensus page: https://advisorcensus.com/firm/swbc-investment-advisory-services-llc-austin-tx-156155

## Quick answers

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

**How much does SWBC Investment Advisory Services LLC charge?**
Its Form ADV Part 2A brochure dated March 24, 2026 states: Flat fee: $25,000 to $250,000 a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is SWBC Investment Advisory Services LLC located?**
SWBC Investment Advisory Services LLC's principal office is in Austin, TX, according to its Form ADV.

**Is SWBC Investment Advisory Services LLC registered with the SEC or a state?**
SWBC Investment Advisory Services LLC is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 156155.

**How have SWBC Investment Advisory Services LLC's assets and staff changed since 2021?**
In the Form ADV data for SWBC Investment Advisory Services LLC: Total employees: 8 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does SWBC Investment Advisory Services LLC serve?**
By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (2,111).

**Does SWBC Investment Advisory Services LLC 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/156155

**What changed in SWBC Investment Advisory Services LLC's recent Form ADV filings?**
In the October 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 24, 2026)

- Flat fee: $25,000 to $250,000 a year

> Fixed fees generally range from $25,000.00 to $250,000.00 on an annual basis, depending upon the level and scope of the services required.

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

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2,111 | $0 |

### Advisory services (Item 5.G)
- Pension consulting services
- Educational seminars/workshops

### Firm details
- Registered since: 2011 (15 years)
- Employees: 9 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NE, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- swbc.com/institutional-practice
- swbc.com/retirement-plan-services
- swbc.com/retirement-plan-sponsor-services

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 8 | March 19, 2021 |
| October 2022 | Not reported | 9 | February 25, 2022 |
| October 2023 | Not reported | 8 | March 28, 2023 |
| October 2024 | Not reported | 9 | March 26, 2024 |
| October 2025 | Not reported | 9 | July 23, 2025 |
| October 2026 | Not reported | 9 | September 3, 2026 |

Total employees: 8 in October 2021 and 9 in October 2026.

## Changes in the filing (last 12 months)

### October 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Employees performing advisory functions went from 7 to 6.

### December 2025
- Registered or notice-filed in NE.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. SWBC Investment Advisory Services LLC (CRD 156155): Form ADV filing data as of October 2026.