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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$40.0MItem 5.F on the latest filing (2017-04-12); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$40.0M

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

1

RAUM per advisor

$40.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

3

Advisory employees

3

Accounts

120

SEC number

801-107352

CRD

282950

Filings on the tape

10

First filed

Feb 23, 2016

Latest filed

Apr 12, 2017

Organised

Limited Liability Company, Texas

• Occurred

  Feb 23, 2016
  First Form ADV filing

  Southwestern Advisory Group filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:f4eb0253-a301-9b7a-d25e-a05aceb1a11a

First observed

Feb 23, 2016

Last observed

Apr 12, 2017 114 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.