Southwest Securities, Inc. (Dallas)

Southwest Securities provides portfolio management for individuals and small businesses, selection of other advisers, publication of newsletters, and educational seminars and workshops. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Southwest Securities: assets under management

The assets under management (AUM) of Southwest Securities, Inc. is $1.04 billion. The firm's AUM has grown by 843% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $299.95 million in discretionary accounts and $735.92 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $227.41 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $283.37 thousand.

Southwest Securities has custody of $958.74 million in cash and securities for 3,256 clients in total and acts as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Southwest Securities, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Southwest Securities, Inc.

James Harrell Ross has been acting as President since 1 Sep 2007. Victor Michael Pucciarelli joined the executive team most recently as the Municipal Adviser Principal.

Direct owners and executive officers

Indirect Owners

The SEC currently registers 1 indirect owner.

Based in Dallas

The principal office where Southwest Securities, Inc. performs its advisory services is located at 1201 Elm Street, Suite 3500, Dallas, TX 75270, which is also the mailing address of the firm. An additional office of the firm is in Plano, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 214-859-1800 or by fax 214-859-6497. The normal business hours are 8:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at nickbollich.com.

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