Swbc Investment Company (San Antonio)

Name: Swbc Investment Company
Address: 9311 San Pedro Avenue, San Antonio, TX, 78216 4459
Telephone: 210-321-7252

Swbc Investment Company is a large advisory firm based in San Antonio. It manages $151.88 million of regulatory assets for 309 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdictions of Florida, Kansas, Louisiana, North Carolina, and Texas.

Swbc Investment Company provides financial planning services, portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Swbc Investment Company: assets under management

The assets under management (AUM) of Swbc Investment Company is $151.88 million. The firm's AUM has grown by 23% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $78.96 million in discretionary accounts and $72.92 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $692.61 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $373.95 thousand.

Investments

The firm invests in investment and business development companies the most. They account for 69% of the total AUM. The second-largest asset type is exchange traded securities, which make up 20% of the firm’s portfolio. Investments in investment grade corporate bonds form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Swbc Investment Company for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kelly Marie Tramontano serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, banking or thrift institutions, and corporations or other businesses. The largest group of clients of Kelly Marie Tramontano is individuals with 267 clients and $61.52 million of assets under management. Among the 11 most similar advisory firms, Swbc Investment Company has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $151.88 million for 309 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Swbc Investment Company doesn't advise any private funds.

Careers at Swbc Investment Company

The company employs 50 people that are either part- or full-time employees. 44 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Kelly Marie Tramontano has been acting as President since 1 Jun 2001. John Patrick Tuohy joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Swbc Corporation	100% owner	1 Jun 1991	75% - 100%	75-1553739
Charles Epifanio Amato	Chairman of the board of directors	1 Jul 1991	Other	2070458
Gary Lee Dudley	Director, vice president, secretary & treasurer	1 Jul 1991	Other	2164756
Cindy Lee Jorgensen	Chief financial officer	1 May 2001	Other	2304138
Kelly Marie Tramontano	President	1 Jun 2001	Other	2341338
Jacob Daniel Palmer	Chief compliance officer	1 May 2007	Other	2309603
John Patrick Tuohy	Ceo	1 Aug 2018	Other	4454485
John Patrick Tuohy	Chief compliance officer	1 Jul 2019	Other	4454485

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Charles Epifanio Amato	50% owner, chairman and ceo	1 Apr 1976	50% - 75%	2070458
Gary Lee Dudley	50% owner, president	1 Apr 1976	50% - 75%	2164756

Based in San Antonio

The principal office where Swbc Investment Company performs its advisory services is located at 9311 San Pedro Avenue, San Antonio, TX 78216 4459, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 210-321-7252 or by fax 210-635-1201. The normal business hours are 8 am to 5 pm ct on Monday - Friday. You can find more information about the New York firm at swbc.com.