SWBC Investment Company
SEC RegisteredAbout the firm
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
SWBC offers a broad range of services including insurance (personal and commercial), wealth management, college planning, estate planning, retirement planning, portfolio management, fixed income trading, municipal underwriting, capital markets, commercial real estate, employee and executive benefits, HR and payroll, ad valorem tax services, mortgage/home financing, auto and mortgage lending services, collections, payment solutions, and outsourced contact center solutions.
Who they serve
Individuals, businesses, financial institutions/loan servicers, real estate investors, investment firms, and insurance agents.
Leadership
Office locations
Advisors at this firm
16 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| $0 to $249,999 | 1.75% |
| $250,000 to $499,999 | 1.50% |
| $500,000 to $999,999 | 1.25% |
| $1,000,000 to $1,999,999 | 1.00% |
| $2,000,000 to $4,999,999 | 0.85% |
| $5,000,000 or more (retail) | 0.00% |
| Institutional: Less than $25M | 0.50% |
| Institutional: $25,000,001 to $50,000,000 | 0.40% |
| Institutional: $50,000,001 to $75,000,000 | 0.30% |
| Institutional: $75,000,001 to $100,000,000 | 0.20% |
| Institutional: $100,000,001 to $150,000,000 | 0.10% |
| Institutional: More than $150,000,000 | 0.08% |
Data as of March 31, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. SWBC Investment Company has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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