JL
CFA
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
14 advisors
Number of Clients
406 clients
Average Client Portfolio
$565K average
Assets Under Management
$229.2M
Fee Structure
Financial Planning:Investment management only
SWBC receives a portion of the wrap fee for advisory services. The overall cost may be higher or lower than purchasing services separately. Fees paid to Third-Party Managers range from 0.00% to 1.50% of assets under management. Clients will be responsible for additional fees such as SEC liquidation fees and wire transfer fees. Fees are subject to negotiation.
Areas of Practice
Investment Management
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Advisor Information
Office location
9311 San Pedro Avenue, Suite 600, San Antonio, TX, 78216-4459
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Swbc Investment Services, LLCBroker
June 2011 - Present · 14 yrs 7 mos
Swbc Investment Company
June 2011 - Present · 14 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated Broker
November 2009 - June 2011 · 1 yr 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2009 - June 2011 · 1 yr 7 mos
Edward Jones
August 2009 - October 2009 · 2 mos
Edward Jones Broker
August 2009 - October 2009 · 2 mos
State Registrations4 states
FLMINCTX
AdvisorBrokerBoth
Exams
No exam information available for this advisor.