AdvisorCensus / Financial advisors / Texas / Dallas / Transwestern Investments
Transwestern Investments
Filed as TRANSWESTERN INVESTMENTS · Legal name Transwestern Investment Management, LLC
Transwestern Investments is an SEC-registered investment advisory firm in Dallas, TX, registered since 2012, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.
Quick answers
From the filingHow is Transwestern Investments compensated?
On its Form ADV (Item 5.E, October 2026), Transwestern Investments reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees; other.
Where is Transwestern Investments located?
Transwestern Investments' principal office is in Dallas, TX, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Transwestern Investments registered with the SEC or a state?
Transwestern Investments is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 159520.
How much does Transwestern Investments manage?
Transwestern Investments reports $3,747,307,677 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (25% discretionary).
How have Transwestern Investments' assets and staff changed since 2021?
In the Form ADV data for Transwestern Investments: Regulatory assets under management: $4,765,540,375 in the October 2021 data and $3,747,307,677 in the October 2026 data, down 21%. Total employees: 26 in October 2021 and 31 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Transwestern Investments serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (5); other (2).
Does Transwestern Investments 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/159520
Does Transwestern Investments state an account minimum?
Its Form ADV Part 2A brochure dated March 31, 2026 says: "TIM generally does not require a minimum client account size and does not have a minimum fee requirement."
What changed in Transwestern Investments' recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 22 to 25. Regulatory assets under management went from $4,304,693,325 to $3,747,307,677 (-13%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: None
The brochure's wording
TIM generally does not require a minimum client account size and does not have a minimum fee requirement.
Minimum annual fee: None
The brochure's wording
TIM generally does not require a minimum client account size and does not have a minimum fee requirement.
As stated in the firm's Form ADV Part 2A brochure dated March 31, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$3,747,307,677 as of October 2026, filing dated March 31, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Legal name
- Transwestern Investment Management, LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2012 (14 years)
- Employees
- Total: 31. Performing investment advisory functions: 25.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the April 2026 filing
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $3,747,307,677 | 31 | March 31, 2026 |
| October 2025 | $4,304,693,325 | 27 | May 12, 2025 |
| October 2024 | $4,016,507,470 | 31 | March 27, 2024 |
| October 2023 | $4,965,962,605 | 24 | May 24, 2023 |
| October 2022 | $5,220,120,136 | 23 | August 17, 2022 |
| October 2021 | $4,765,540,375 | 26 | March 30, 2021 |
Regulatory assets under management: $4,765,540,375 in the October 2021 data and $3,747,307,677 in the October 2026 data, down 21%.
Total employees: 26 in October 2021 and 31 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Employees performing advisory functions went from 22 to 25.
- Regulatory assets under management went from $4,304,693,325 to $3,747,307,677 (-13%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Transwestern Investments (CRD 159520): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/transwestern-investments-dallas-tx-159520