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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

SWBC INVESTMENT ADVISORY SERVICES LLC

CRD 156155

AUSTIN, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:32afcd72-fd60-e864-b058-b208208b5f0e

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 5
On other graphs: 1
Observed: Dec 23, 2011 to Sep 3, 2026
26 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Swbc Investment Advisory Services LLC

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 5
Employees: 9
Advisory employees: 6
Offices: 3Schedule D 1.F, beyond the principal office
SEC number: 801-72669
CRD: 156155
Filings on the tape: 26
First filed: Dec 23, 2011
Latest filed: Sep 3, 2026
Organised: Limited Liability Company, TX
Website: swbc.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BRADLEY DAVID FERGUSON	n/a	AUSTIN, TX \| Mechanicsburg, PA	15	26	3	no
BRIAN CHRISTOPHER AYLIEFF	n/a	AUSTIN, TX	13	24	3	no
SARA REEDER MATLOCK	n/a	AUSTIN, TX \| Dallas, TX	13	26	2	no
MARK DONALD MURRAY	n/a	AUSTIN, TX	2	25	3	no
IAN T JAMES	n/a	AUSTIN, TX	0	13	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALLISON, RICHARD, THOMPSON	CHIEF EXECUTIVE OFFICER/ MANAGING MEMBER	Na	yes	03/2011	Dec 23, 2011	Mar 26, 2024
AMATO, CHARLES, EPIFANIO	MANAGING MEMBER	D	yes	03/2011	Dec 23, 2011	Mar 26, 2024
DUDLEY, GARY, LEE	MANAGING MEMBER	D	yes	03/2011	Dec 23, 2011	Mar 26, 2024
SOUTHWEST BUSINESS CORPORATION	Member	E	yes	03/2011	Dec 23, 2011	Mar 26, 2024
BRANCAZIO, CHRISTOPHER, JOHN	Cco	Na	no	11/2022	Jan 6, 2023	Mar 26, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SWBC INVESTMENT COMPANY	n/a	Independent wealth	$256M	N	no	n/a
SWBC INVESTMENT SERVICES, LLC	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 24, 2026	$0	$0	9	6	3	n/a	n/a
2024	Mar 30, 2025	$0	$0	9	7	0	n/a	n/a
2023	Mar 26, 2024	n/a	n/a	9	7	0	n/a	n/a
2022	Mar 28, 2023	n/a	n/a	8	7	0	n/a	n/a
2021	Feb 25, 2022	n/a	n/a	9	8	0	n/a	n/a
2020	Mar 19, 2021	n/a	n/a	8	7	0	n/a	n/a
2019	Mar 24, 2020	n/a	n/a	9	8	0	n/a	n/a
2018	Mar 26, 2019	n/a	n/a	9	7	0	n/a	n/a
2017	Mar 21, 2018	n/a	n/a	8	6	0	n/a	n/a
2016	Mar 28, 2017	n/a	n/a	7	5	n/a	n/a	n/a
2015	Mar 31, 2016	n/a	n/a	9	8	n/a	n/a	n/a
2014	Mar 27, 2015	n/a	n/a	9	8	n/a	n/a	n/a
2013	Mar 31, 2014	n/a	n/a	9	8	n/a	n/a	n/a
2012	Apr 1, 2013	n/a	n/a	7	6	n/a	n/a	n/a
2011	Mar 30, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	20.0%	0	0	0	2	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	n/a	$0	n/a	n/a	n/a	9	9	3	0

Relationships

Affiliated with (2)

→ SWBC INVESTMENT COMPANYRegistered adviserother investment adviser
factForm ADV
← SWBC INVESTMENT COMPANYRegistered adviserother investment adviser, LP sponsor
factForm ADV

Registered with (10)

← IAN T JAMESAdvisorregistration: current employment
Apr 15, 2026 to presentfactForm ADV
← MARK DONALD MURRAYAdvisorregistration: current employment
Feb 6, 2024 to presentfactForm ADV
← SARA REEDER MATLOCKAdvisorregistration: current employment
Jan 4, 2013 to presentfactForm ADV
← BRIAN CHRISTOPHER AYLIEFFAdvisorregistration: current employment
Dec 21, 2012 to presentfactForm ADV
← BRADLEY DAVID FERGUSONAdvisorregistration: current employment
Sep 9, 2011 to presentfactForm ADV
← ADRIAN EDWARD RAMIREZAdvisorregistration: previous registration
Jul 9, 2021 to Mar 19, 2026factForm ADV
← Mark Kenneth DickensAdvisorregistration: previous registration
Sep 28, 2016 to Jun 14, 2022factForm ADV
← Nicholas David IrwinAdvisorregistration: previous registration
Apr 11, 2018 to Mar 3, 2021factForm ADV
← Dawn van DyckAdvisorregistration: previous registration
Oct 15, 2019 to Feb 2, 2021factForm ADV
← NATHAN JOEL SHARPAdvisorregistration: previous registration
Sep 21, 2011 to Sep 26, 2012factForm ADV

Controls (4)

← AMATO, CHARLES, EPIFANIOOwnerMANAGING MEMBER, ownership code D, individual
Dec 23, 2011 to Mar 26, 2024factForm ADV
← DUDLEY, GARY, LEEOwnerMANAGING MEMBER, ownership code D, individual
Dec 23, 2011 to Mar 26, 2024factForm ADV
← ALLISON, RICHARD, THOMPSONOwnerCHIEF EXECUTIVE OFFICER/ MANAGING MEMBER, ownership code NA, individual
Dec 23, 2011 to Mar 26, 2024factForm ADV
← SOUTHWEST BUSINESS CORPORATIONOwnerMEMBER, ownership code E, domestic entity
Dec 23, 2011 to Mar 26, 2024factForm ADV

Owns (1)

← BRANCAZIO, CHRISTOPHER, JOHNOwnerCCO, ownership code NA, individual
Jan 6, 2023 to Mar 26, 2024factForm ADV

Dated events

Occurred
Mar 19, 2026
Advisor changed firm
Adrian Edward Ramirez left Swbc Investment Advisory Services Llc for Monarch Plan Advisors (registered 2024-05-22)
Form ADVobserved 4 days ago
Occurred
Jun 14, 2022
Advisor changed firm
Mark Kenneth Dickens left Swbc Investment Advisory Services Llc for Kestra Advisory Services, Llc (registered 2022-06-16)
Form ADVobserved 4 days ago
Occurred
Jun 24, 2020
Control person left
Marion Carl Rizzo (Chief Compliance Officer) no longer on Schedule A of Swbc Investment Advisory Services Llc (listed 2020-03-24, absent 2020-06-24)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2019
Control person left
Ann Marie Swanson (Chief Compliance Officer) no longer on Schedule A of Swbc Investment Advisory Services Llc (listed 2019-02-04, absent 2019-03-26)
Form ADVobserved 4 days ago
Occurred
Mar 26, 2019
Control person joined
Marion Carl Rizzo (Chief Compliance Officer) appeared on Schedule A of Swbc Investment Advisory Services Llc
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32afcd72-fd60-e864-b058-b208208b5f0e
First observed: Dec 23, 2011
Last observed: Sep 3, 2026 16 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SWBC INVESTMENT ADVISORY SERVICES LLC

CRD 156155

AUSTIN, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:32afcd72-fd60-e864-b058-b208208b5f0e

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:01 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BRADLEY DAVID FERGUSON

n/a

AUSTIN, TX | Mechanicsburg, PA

BRIAN CHRISTOPHER AYLIEFF

n/a

AUSTIN, TX

SARA REEDER MATLOCK

n/a

AUSTIN, TX | Dallas, TX

MARK DONALD MURRAY

n/a

AUSTIN, TX

IAN T JAMES

n/a

AUSTIN, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALLISON, RICHARD, THOMPSON

CHIEF EXECUTIVE OFFICER/ MANAGING MEMBER

yes

03/2011

Dec 23, 2011

Mar 26, 2024

AMATO, CHARLES, EPIFANIO

MANAGING MEMBER

yes

03/2011

Dec 23, 2011

Mar 26, 2024

DUDLEY, GARY, LEE

MANAGING MEMBER

yes

03/2011

Dec 23, 2011

Mar 26, 2024

SOUTHWEST BUSINESS CORPORATION

Member

yes

03/2011

Dec 23, 2011

Mar 26, 2024

BRANCAZIO, CHRISTOPHER, JOHN

Cco

11/2022

Jan 6, 2023

Mar 26, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SWBC INVESTMENT COMPANY

n/a

Independent wealth

$256M

n/a

SWBC INVESTMENT SERVICES, LLC

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 24, 2026

n/a

2024

Mar 30, 2025

n/a

2023

Mar 26, 2024

n/a

2022

Mar 28, 2023

n/a

2021

Feb 25, 2022

n/a

2020

Mar 19, 2021

n/a

2019

Mar 24, 2020

n/a

2018

Mar 26, 2019

n/a

2017

Mar 21, 2018

n/a

2016

Mar 28, 2017

n/a

2015

Mar 31, 2016

n/a

2014

Mar 27, 2015

n/a

2013

Mar 31, 2014

n/a

2012

Apr 1, 2013

n/a

2011

Mar 30, 2012

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

20.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

n/a