Southwestern Investment Advisory Services, Inc. (Franklin)

Southwestern Investment Advisory Services provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 250 clients. On top of advisory services, the firm doesn't engage in other business activities.

Southwestern Investment Advisory Services: assets under management

The assets under management (AUM) of Southwestern Investment Advisory Services, Inc. is $2.15 billion. The firm's AUM has grown by 679% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $84.87 million in discretionary accounts and $2.06 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $234.44 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $137.06 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is government bonds, which make up 5% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Southwestern Investment Advisory Services, Inc. for their services and products based on a percentage of assets under management 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 Henry Edward Bedford serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Henry Edward Bedford is individuals with 15,139 clients and $1.85 billion of assets under management. Among the 7 most similar advisory firms, Southwestern Investment Advisory Services has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $2.15 billion for 15,419 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.

Southwestern Investment Advisory Services doesn't advise any private funds.

Careers at Southwestern Investment Advisory Services, Inc.

The company employs 60 people that are either part- or full-time employees. 92 percent of the employees work as investment advisers or researchers. 58 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.

Henry Edward Bedford has been acting as President since 1 Jul 2014. Spencer Estate Hays joined the executive team most recently as the Owner.

Direct owners and executive officers

Indirect Owners

The SEC currently registers 4 indirect owners.

Based in Franklin

The principal office where Southwestern Investment Advisory Services, Inc. performs its advisory services is located at 801 Crescent Centre Drive, Franklin, TN 37067, which is also the mailing address of the firm. An additional office of the firm is in Frisco, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 615-861-6100 or by fax 615-391-2847. The normal business hours are 8:00-5:00 cst on Monday - Friday. You can find more information about the New York firm at southwesterninvestmentgroup.com.

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