Southwest Investment Advisors, Inc. (Tucson)

Name: Southwest Investment Advisors, Inc.
Address: 7594 N. La Cholla Blvd., Tucson, AZ, 85741
Telephone: (520) 544-2500

Southwest Investment Advisors, Inc. is a large advisory firm based in Tucson. It manages $149.6 million of regulatory assets for 876 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdictions of Arizona, California, Kansas, and Texas.

Southwest Investment Advisors provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Southwest Investment Advisors: assets under management

The assets under management (AUM) of Southwest Investment Advisors, Inc. is $149.6 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 35% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $149.6 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $170.78 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 93% of the total AUM. The second-largest asset type is exchange traded securities, which make up 4% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Southwest Investment Advisors, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Southwest Investment Advisors serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Southwest Investment Advisors is individuals with 851 clients and $103.72 million of assets under management. Among the 12 most similar advisory firms, Southwest Investment Advisors has the 2nd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $149.6 million for 876 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Southwest Investment Advisors doesn't advise any private funds.

Careers at Southwest Investment Advisors, Inc.

The company employs 6 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 6 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Barton Schannep	President, chief compliance officer	1 Apr 2001	50% - 75%	1160703
Robert Douglas Wright	Partner	1 Jan 2002	50% - 75%	2502918

Based in Tucson

The principal office where Southwest Investment Advisors, Inc. performs its advisory services is located at 7594 N. La Cholla Blvd., Tucson, AZ 85741, which is also the mailing address of the firm. An additional office of the firm is in Pinetop, AZ. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (520) 544-2500 or by fax (520) 544-0499. The normal business hours are m-th: 7:00 a.m. - 4:00 p.m., fri.: 7:00 a.m. - 2:00 p.m. on Monday - Friday. You can find more information about the New York firm at facebook.com/siatucson/.