This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

SOUTHWEST INVESTMENT ADVISORS, INC.

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jan 1, 2012earliest registration or exam on IAPD

Years in industry

14derivedfrom the industry start date

Years at current firm

5derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

4

Exams

S63|S65

First exam

May 24, 2019

First registration

Jun 7, 2019

Dual registered

yes, broker-dealer

Other names

Rick John Zich

IAPD individual key

7081429

Graph

RIA / Wealth Management

Canonical id

dfx:ria:452da5f7-e5e8-89db-ae89-eaabc0ad0a3e

First observed

Jun 7, 2019

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed 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.