DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Richard Patrick Swetish

Frost Investment ServicesBD affiliatedSan Antonio, Tx dual registrantIAPD 2322722

Feed of 09/15/2026

Also filed as Rick Swetish

At current firm

2 y

since Aug 13, 2024

In the industry

33 y

since Jun 30, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Frost Investment Services BD affiliated current
since Aug 13, 2024 · Corpus Christi, Tx
Wells Fargo Advisors wirehouse
May 31, 2016 to Aug 15, 2024 · Corpus Christi, Tx
M. E. Allison & Co., Inc. independent RIA
Jul 25, 2012 to Jun 9, 2016 · San Antonio, Tx
Morgan Stanley wirehouse
Jun 1, 2009 to Aug 16, 2010 · Corpus Christi, Tx
Citigroup Global Markets Inc. BD affiliated
Aug 6, 2004 to Jun 1, 2009 · Corpus Christi, Tx
UBS Financial Services Inc. wirehouse
Feb 2, 1998 to Aug 23, 2004 · Corpus Christi, Tx

Moves

a registration end followed by a registration begin elsewhere

Wells Fargo Advisors to Frost Investment Services
left Aug 15, 2024, registered Aug 13, 2024 (-2 days) · Wirehouse to affiliated broker-dealer or bank
M. E. Allison & Co., Inc. to Wells Fargo Advisors
left Jun 9, 2016, registered May 31, 2016 (-9 days) · RIA to wirehouse
Morgan Stanley to M. E. Allison & Co., Inc.
left Aug 16, 2010, registered Jul 25, 2012 (709 days) · Wirehouse to independent RIA
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
UBS Financial Services Inc. to Citigroup Global Markets Inc.
left Aug 23, 2004, registered Aug 6, 2004 (-17 days) · Other

Signals

Richard Patrick Swetish left Wells Fargo Advisors for Frost Investment Services (registered 2024-08-13)
Aug 15, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address