{
  "crd_number": 140994,
  "slug": "swbc-investment-company-san-antonio-tx-140994",
  "primary_business_name": "SWBC INVESTMENT COMPANY",
  "legal_name": "SWBC INVESTMENT COMPANY",
  "dbas": [
    "SWBC WEALTH MANAGEMENT"
  ],
  "city": "San Antonio",
  "state": "TX",
  "country": "United States",
  "cbsa_code": "41700",
  "metro": {
    "cbsa_code": "41700",
    "common_name": "San Antonio",
    "msa_name": "San Antonio-New Braunfels, TX",
    "path": "/advisors/tx/san-antonio"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2007-06-25",
  "years_registered": 19,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 255957289.0,
  "raum_discretionary": 197495086.0,
  "raum_non_discretionary": 58462203.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 33,
  "advisory_employees": 17,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 52218579.0,
      "count": 16,
      "description": "ERISA ADVISORY PLANS"
    },
    "individuals": {
      "raum": 19359883.0,
      "count": 391
    },
    "high_net_worth_individuals": {
      "raum": 178135203.0,
      "count": 79
    },
    "pooled_investment_vehicles": {
      "raum": 6243624.0,
      "count": 8
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "educational_seminars",
    "financial_planning",
    "other",
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CT",
    "FL",
    "KS",
    "LA",
    "NC",
    "NJ",
    "SC",
    "TX"
  ],
  "websites": [
    "https://info.swbc.com/swbc-investment-services-uncharted-wealth-podcast",
    "https://swbc.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/140994",
  "city_as_filed": "SAN ANTONIO",
  "url": "https://advisorcensus.com/firm/swbc-investment-company-san-antonio-tx-140994",
  "display_name": "SWBC Investment Company",
  "summary": "SWBC Investment Company is an SEC-registered investment advisory firm in San Antonio, TX, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. SWBC Investment Company (CRD 140994): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)",
    "Educational seminars/workshops",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is SWBC Investment Company compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), SWBC Investment Company reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "How much does SWBC Investment Company charge?",
      "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Subscription: $250 to $5,000 a year (financial planning and consultation services); Hourly rate: $75 to $250 an hour (Hourly Planning Fee). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is SWBC Investment Company located?",
      "a": "SWBC Investment Company's principal office is in San Antonio, TX, according to its Form ADV; the April 2026 filing also lists 2 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is SWBC Investment Company registered with the SEC or a state?",
      "a": "SWBC Investment Company is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 140994."
    },
    {
      "q": "How much does SWBC Investment Company manage?",
      "a": "SWBC Investment Company reports $255,957,289 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (77% discretionary)."
    },
    {
      "q": "How have SWBC Investment Company's assets and staff changed since 2021?",
      "a": "In the Form ADV data for SWBC Investment Company: Regulatory assets under management: $180,308,000 in the October 2021 data and $255,957,289 in the October 2026 data, up 42%. Total employees: 45 in October 2021 and 33 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does SWBC Investment Company serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (391); high net worth individuals (79); other (16)."
    },
    {
      "q": "Which custodians does SWBC Investment Company use?",
      "a": "SWBC Investment Company's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing Advisor Solutions LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does SWBC Investment Company report any disciplinary disclosures?",
      "a": "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/140994"
    },
    {
      "q": "What changed in SWBC Investment Company's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 19 to 17. Regulatory assets under management went from $229,193,705 to $255,957,289 (+12%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 180308000.0,
      "total_employees": 45,
      "filing_date": "2021-06-02"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 205021000.0,
      "total_employees": 45,
      "filing_date": "2022-04-01"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 380146900.0,
      "total_employees": 45,
      "filing_date": "2023-09-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 345837406.0,
      "total_employees": 35,
      "filing_date": "2024-05-16"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 229193705.0,
      "total_employees": 28,
      "filing_date": "2025-03-31"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 255957289.0,
      "total_employees": 33,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 19 to 17.",
        "Regulatory assets under management went from $229,193,705 to $255,957,289 (+12%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 31, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": null,
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Subscription: $250 to $5,000 a year (financial planning and consultation services)",
      "Hourly rate: $75 to $250 an hour (Hourly Planning Fee)"
    ],
    "figures": [
      {
        "label": "Planning fee",
        "statements": [
          "Subscription: $250 to $5,000 a year (financial planning and consultation services)"
        ],
        "quotes": [
          "$250.00 - $5,000.00 - Annual, semi-annual, quarterly, or monthly retainer for financial planning and consultation services"
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $75 to $250 an hour (Hourly Planning Fee)"
        ],
        "quotes": [
          "Hourly Planning Fee-  $75.00 - $250.00 – subject to a 5 hour retainer paid at the time of engagement."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": null,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "subscription",
          "amount": null,
          "min": 250.0,
          "max": 5000.0,
          "period": "annual",
          "service": "financial planning and consultation services"
        },
        {
          "kind": "hourly",
          "amount": null,
          "min": 75.0,
          "max": 250.0,
          "period": "hour",
          "service": "Hourly Planning Fee"
        }
      ]
    },
    "quotes": [
      "$250.00 - $5,000.00 - Annual, semi-annual, quarterly, or monthly retainer for financial planning and consultation services",
      "Hourly Planning Fee-  $75.00 - $250.00 – subject to a 5 hour retainer paid at the time of engagement."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Pershing Advisor Solutions LLC",
      "name_as_filed": "PERSHING ADVISOR SOLUTIONS LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/swbc-investment-company-san-antonio-tx-140994.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 391,
      "fewer_than_5": false,
      "raum": 19359883.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 79,
      "fewer_than_5": false,
      "raum": 178135203.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 6243624.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 16,
      "fewer_than_5": false,
      "raum": 52218579.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/140994",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}