Swbc Investment Company
- Regulatory AUM
- $256M
- Discretionary
- $197M
- Clients
- 494
- Avg AUM / client
- $518K
- Accounts
- 494
- Employees
- 33
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 391 | $19.4M | 7.56% |
| High net worth individuals | 79 | $178M | 69.6% |
| Pooled investment vehicles (non-investment companies) | 8 | $6.2M | 2.44% |
| Other | 16 | $52.2M | 20.4% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of May 2024 · $127M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Swbc Re Fund Lp | Real Estate Fund | Delaware | $124M | 18 |
| Swbc Cpg Fund I, Lp | Private Equity Fund | Delaware | $3.0M | 8 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| O.P.E.N. America, Inc. Dba Openworks 401(k) Plan O.P.E.N. America, Inc. Dba Openworks | 2024 | |
| Benson Enterprises, Inc. Profit Sharing And 401(k) Plan Benson Enterprises, Inc. | 2024 |
People (18)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Amato, Charles, Epifanio | Chairman Of The Board Of Directors | Apr 1976 (50y) | ≈ 37.5% – 75% via Swbc Corporation | |
| Dudley, Gary, Lee | Director, Vice President, Secretary & Treasurer | Apr 1976 (50y) | ≈ 37.5% – 75% via Swbc Corporation | |
| Alejandro G Ireta | Director Of Compliance | CFP | Jul 2020 (6y) | Less than 5% |
| Rykert, Donald, Scott | Ceo | Dec 2023 (3y) | Less than 5% | |
| Roger Adrian Versteeg | Registered representative | CFP Chartered Financial Consultant | Dec 2007 (19y) | |
| Brett Dunstan Walker | Registered representative | Jun 2010 (16y) | ||
| Joshua B Lynch | Registered representative | CFA | Jun 2011 (15y) | |
| Joan Higgins Cleveland | Registered representative | Chartered Financial Consultant | Apr 2013 (13y) | |
| Christopher C. Elbrecht | Registered representative | Oct 2013 (13y) | ||
| Paul Kenneth Marshall | Registered representative | Feb 2015 (11y) | ||
| Ryan Garrett Riffe | Registered representative | Aug 2015 (11y) | ||
| Jamie Lynn Wisecarver | Registered representative | May 2019 (7y) | ||
| Alejandro Manuel Sierra | Registered representative | Jun 2019 (7y) | ||
| Stephanie Esquivel Flores | Registered representative | Jul 2024 (2y) | ||
| Kyle David Hittle | Registered representative | Apr 2025 (1y) | ||
| Christopher Robert Dewlen | Registered representative | Sep 2025 (1y) | ||
| Thomas Leslie Sherwood | Registered representative | Jan 2026 (1y) | ||
| Hunter Darling | Registered representative | Jan 2026 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Swbc Corporation | 100% Owner | Jun 1991 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Amato, Charles, Epifanio: 50% – 75% of Swbc Corporation × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Dudley, Gary, Lee: 50% – 75% of Swbc Corporation × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (2, $127M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Swbc Re Fund Lp | Real Estate Fund | $124M | $1.0M | 18 |
| Swbc Cpg Fund I, Lp | Private Equity Fund | $3.0M | $25.0K | 8 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| O.P.E.N. America, Inc. Dba Openworks 401(k) Plan | O.P.E.N. America, Inc. Dba Openworks | 124 | $4.3M | 01/01/2024 |
| Benson Enterprises, Inc. Profit Sharing And 401(k) Plan | Benson Enterprises, Inc. | 227 | $9.8M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.3 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • ADVISOR TO ERISA PLANS AS 3(21) FIDUCIARY
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Pershing $123M (48% of AUM) Mar 2026
- National Financial Services (Fidelity) $72.9M (21% of AUM) May 2024
- Charles Schwab & Co. $48.1M (19% of AUM) Mar 2026
- Fidelity Brokerage Services $42.1M (12% of AUM) May 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗