DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SOUTHWEST FINANCIAL SERVICES, LLC

CRD 132560

TULSA, OK

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:a7122c2e-7ce4-49b5-7ef9-bd70994bc827

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2012
1 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: $49.2MItem 5.F on the latest filing (2012-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $49.2M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 20
SEC number: 801-67032
CRD: 132560
Filings on the tape: 1
First filed: Mar 30, 2012
Latest filed: Mar 30, 2012
Organised: Limited Liability Company, Oklahoma

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
BASHAW, GEORGE, FRANCIS	Member	C	yes	06/2004	Mar 30, 2012	Mar 30, 2012
BASHAW, SHERYL, DIANNE	Member	C	yes	06/2004	Mar 30, 2012	Mar 30, 2012
COLE, DAVID, ALFRED	MANAGING MEMBER - CHIEF COMPLIANCE OFFICER	C	yes	06/2004	Mar 30, 2012	Mar 30, 2012

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
FINANCIAL ADVISORY SERVICE INC	n/a	Independent wealth	$3.8B	N	no	n/a
M HOLDINGS SECURITIES INC	n/a	n/a	n/a	Y	yes	n/a
XCORP FINANCIAL	n/a	n/a	n/a	Y	yes	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
2011	Mar 30, 2012	$49.2M	$49.2M	n/a	n/a	n/a	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
2011	$49.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ FAS WEALTH PARTNERS, INC.Registered adviserother investment adviser
factForm ADV

Controls (3)

← COLE, DAVID, ALFREDOwnerMANAGING MEMBER - CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← BASHAW, SHERYL, DIANNEOwnerMEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← BASHAW, GEORGE, FRANCISOwnerMEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7122c2e-7ce4-49b5-7ef9-bd70994bc827
First observed: Mar 30, 2012
Last observed: Mar 30, 2012 176 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 FINANCIAL SERVICES, LLC

CRD 132560

TULSA, OK

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:a7122c2e-7ce4-49b5-7ef9-bd70994bc827

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BASHAW, GEORGE, FRANCIS

Member

yes

06/2004

Mar 30, 2012

BASHAW, SHERYL, DIANNE

Member

yes

06/2004

Mar 30, 2012

COLE, DAVID, ALFRED

MANAGING MEMBER - CHIEF COMPLIANCE OFFICER

yes

06/2004

Mar 30, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FINANCIAL ADVISORY SERVICE INC

n/a

Independent wealth

$3.8B

n/a

M HOLDINGS SECURITIES INC

n/a

yes

n/a

XCORP FINANCIAL

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$49.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$49.2M

n/a