SourcingSourcing

SWBC INVESTMENT ADVISORY SERVICES LLC

C38
CRD 156155·SEC 801-72669·AUSTIN, TX
AUM
$0
<$25M
Est. Revenue
$0
@ 1% on AUM
Est. EBITDA
$0
@ 30% margin
Est. Deal Value
$0
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SWBC INVESTMENT ADVISORY SERVICES LLC
CRD
156155
SEC file #
801-72669
EIN
—
DBA names
—

Economics

AUM
$0
AUM band
<$25M
AUM trajectory
—
Client mix
Pension Profit Sharing Plans2,111

Operations

Employees (total)
9
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
7 advisors → 6 advisors▼ -14%
Primary office
AUSTIN TX
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Pension consultingEducational Seminars Workshops
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/24/2026
ADV-W filed at
—
Website
swbc.com/retirement-plan-sponsor-services

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SOUTHWEST BUSINESS CORPORATION
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
SOUTHWEST BUSINESS CORPORATION
FERGUSON, BRADLEY, DAVID
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SWBC.COM
Rdap Domain Creation Date
1995-09-10T04:00:00Z
Rdap Firm Age Years
31
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
5
Form 5500 Total Compensation
161,731
Form 5500 Compensation Trajectory 3y
2025161,731
Form 5500 Plan Count Trajectory 3y
20255
Schedule C Total Compensation
161,731
Schedule C Service Provider Rows
5

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2030-09-09T04:00:00Z
Rdap Domain Last Changed
2024-05-06T13:37:45Z
Rdap Nameservers
Ns-1289.awsdns-33.orgNs-1872.awsdns-42.co.ukNs-570.awsdns-07.netNs-58.awsdns-07.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Trust Company Affiliate
No

People (6)

6
FERGUSON, BRADLEY, DAVID
IAR · Executive Officer · 2.5%
4251533
Hopkins, Deborah, Anderson
Executive Officer · 2.5%
6916493
BRIAN CHRISTOPHER AYLIEFF
IAR
4490085
SARA REEDER MATLOCK
IAR
4023055
IAN T JAMES
IAR
5793067
MARK DONALD MURRAY
IAR
4284672