Swbc Investment Advisory Services Llc
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- 2,111
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 9
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pension and profit sharing plans | 2,111 | $0 | — |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Allison, Richard, Thompson | Chief Executive Officer/ Managing Member | Mar 2011 (15y) | Less than 5% | |
| Amato, Charles, Epifanio | Managing Member | Mar 2011 (15y) | ≈ 37.5% – 75% via Southwest Business Corporation | |
| Dudley, Gary, Lee | Managing Member | Mar 2011 (15y) | ≈ 37.5% – 75% via Southwest Business Corporation | |
| Brancazio, Christopher, John | Cco | Nov 2022 (4y) | Less than 5% | |
| Bradley David Ferguson | Registered representative | Sep 2011 (15y) | ||
| Brian Christopher Aylieff | Registered representative | Dec 2012 (14y) | ||
| Sara Reeder Matlock | Registered representative | Jan 2013 (14y) | ||
| Mark Donald Murray | Registered representative | Feb 2024 (2y) | ||
| Ian T James | Registered representative | Apr 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Southwest Business Corporation | Member | Mar 2011 | 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 Southwest Business Corporation × 75% – 100% direct ≈ 37.5% – 75% of the firm
- Dudley, Gary, Lee: 50% – 75% of Southwest Business 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.
Retirement plans served (15)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| New England Orthopedic Surgeons, Inc. 401(k) Plan & Trust | New England Orthopedic Surgeons, Inc. | 0 | $0 | 01/01/2025 |
| Verdun 401(k) Retirement Plan | Verdun Management Co Llc | 223 | $89.6M | 01/01/2024 |
| Centrus Savings Program | Centrus Energy Corp. | 332 | $220M | 01/01/2024 |
| Mirabito Holdings, Inc. 401(k) Plan | Mirobito Holdings, Inc. | 1,326 | $50.4M | 01/01/2024 |
| Tmf Health Quality Institute 401(k) Retirement Savings Plan | Tmf Health Quality Institute | 712 | $79.2M | 01/01/2024 |
| The Accuride Employee Retirement And Savings Plan And Trust | Accuride International Inc. | 50 | $53.5M | 01/01/2024 |
| Scientific Drilling International Employee Saving And Investment Plan | Scientific Drilling International, Inc. | 494 | $122M | 01/01/2024 |
| Four Seasons Environmental, Inc. 401(k) Plan | Four Seasons Environmental, Inc. | 383 | $38.9M | 01/01/2024 |
| Reimagined Parking Inc, 401 K Plan | Reimagined Parking, Inc | 3,540 | $24.6M | 01/01/2024 |
| Bachman's 401(k) Retirement Savings Plan | Bachman's Inc. | 661 | $35.5M | 01/01/2024 |
| Bachman's, Inc. Union Employees Retirement / Savings Plan | Bachman's Inc. | 88 | $13.8M | 01/01/2024 |
| Tpi Corporation Pension Plan | Tpi Corporation | 260 | $6.4M | 01/01/2024 |
| Nevada Health Centers, Inc. Retirement Plan | Nevada Health Centers, Inc. | 539 | $23.0M | 01/01/2024 |
| Tpi Corporation Defined Contribution 401(k) Plan | Tpi Corporation | 107 | $9.9M | 01/01/2024 |
| American Travel Solutions 401(k) Plan | American Travel Solutions, Llc | 124 | $4.9M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 1.13 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
- • Fixed fees
Services
- • Pension consulting services
- • Educational seminars/workshops
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗