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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

SOUTHWEST INVESTMENT ADVISORS, INC.

CRD 117052

TUCSON, AZ

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:7e8b7c9d-be5d-3489-fea0-8a521ef4ddec

Data as of Feb 4, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 5
On other graphs: 0
Observed: Dec 27, 2018 to Feb 4, 2021
9 observations

Across DFX

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.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $209MItem 5.F on the latest filing (2021-02-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $209M
Private client RAUM: $209MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 883
Individual clients: 844
High net worth clients: 39
SEC number: 801-114643
CRD: 117052
Filings on the tape: 9
First filed: Dec 27, 2018
Latest filed: Feb 4, 2021
Organised: Corporation, Arizona

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
KUSLER, ALEXANDRA, FARQUHAR	Shareholder	D	yes	01/2021	Jan 30, 2021	Feb 4, 2021
Zich, Richard, John	PRESIDENT, CCO	D	yes	01/2021	Jan 30, 2021	Feb 4, 2021

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	yes

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
2020	Feb 4, 2021	$209M	$209M	3	3	1	n/a	n/a
2019	Feb 7, 2020	$168M	$168M	7	7	3	n/a	n/a
2018	Feb 26, 2019	$123M	$123M	6	6	2	n/a	n/a

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
2020	$209M	$168M	25.0%	n/a	n/a	3	7	1	3

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SOUTHWEST INVESTMENT ADVISORS, INC.	2	Mar 8, 2021	Mar 10, 2021	TUCSON, AZ	Channel change	RIA to RIA	66.7%

Relationships

Controls (2)

← KUSLER, ALEXANDRA, FARQUHAROwnerSHAREHOLDER, ownership code D, individual
Jan 30, 2021 to presentfactForm ADV
← Zich, Richard, JohnOwnerPRESIDENT, CCO, ownership code D, individual
Jan 30, 2021 to presentfactForm ADV

Moved with (1)

→ SOUTHWEST INVESTMENT ADVISORS, INC.Registered adviser2 advisors, team lift out, same day
Mar 8, 2021 to Mar 10, 2021factForm ADV

Registered with (8)

← ALEXANDRA FARQUHAR KUSLERAdvisorregistration: previous registration
Sep 28, 2011 to Mar 8, 2021factForm ADV
← JOHN ROBERT SCHANNEPAdvisorregistration: previous registration
Sep 19, 2018 to Mar 8, 2021factForm ADV
← Richard John ZichAdvisorregistration: previous registration
Jun 7, 2019 to Mar 8, 2021factForm ADV
← MARY GRACE SCHULZAdvisorregistration: previous registration
Nov 18, 2014 to Oct 26, 2018factForm ADV
← CHARLES RICHARD DUNNAdvisorregistration: previous registration
Dec 6, 2010 to Mar 17, 2014factForm ADV
← BRADLEY JAMES LINEBERGERAdvisorregistration: previous registration
Jul 26, 2011 to Jul 10, 2012factForm ADV
← SHERYL ANN HALLAdvisorregistration: previous registration
Feb 20, 2004 to Nov 19, 2010factForm ADV
← ROGER KENT STUBBSAdvisorregistration: previous registration
Oct 20, 2005 to Nov 23, 2009factForm ADV

Dated events

Occurred
Jan 30, 2021
Control person joined
John Richard Zich (President, Cco) appeared on Schedule A of Southwest Investment Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 30, 2021
Control person joined
Farquhar Alexandra Kusler (Shareholder) appeared on Schedule A of Southwest Investment Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Jan 30, 2021
Control person left
Barton John Schannep (President, Chief Compliance Officer) no longer on Schedule A of Southwest Investment Advisors, Inc. (listed 2020-06-30, absent 2021-01-30)
Form ADVobserved 4 days ago
Occurred
Jan 30, 2021
Control person left
Douglas Robert Wright (Partner) no longer on Schedule A of Southwest Investment Advisors, Inc. (listed 2020-06-30, absent 2021-01-30)
Form ADVobserved 4 days ago
Occurred
Dec 27, 2018
First Form ADV filing
Southwest Investment Advisors, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e8b7c9d-be5d-3489-fea0-8a521ef4ddec
First observed: Dec 27, 2018
Last observed: Feb 4, 2021 68 months 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.

SOUTHWEST INVESTMENT ADVISORS, INC.

CRD 117052

TUCSON, AZ

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:7e8b7c9d-be5d-3489-fea0-8a521ef4ddec

Data as of Feb 4, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:19 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KUSLER, ALEXANDRA, FARQUHAR

Shareholder

yes

01/2021

Jan 30, 2021

Feb 4, 2021

Zich, Richard, John

PRESIDENT, CCO

yes

01/2021

Jan 30, 2021

Feb 4, 2021

City

State

Country

Employees

Also broker-dealer

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Feb 4, 2021

$209M

n/a

2019

Feb 7, 2020

$168M

n/a

2018

Feb 26, 2019

$123M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$209M

$168M

25.0%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SOUTHWEST INVESTMENT ADVISORS, INC.

Mar 8, 2021

Mar 10, 2021

TUCSON, AZ

Channel change

RIA to RIA

66.7%