Southwestern Advisory Group LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$39,350,000
Total clients
78
38% high-net worth
Total advisors
1
of 1 employees
Firm size
Independent
1 advisor
Average clients per advisor
78
Average account size
$504,487
About
Southwestern Advisory Group LLC serves individuals, trustees, small businesses, non‑profits, corporations and retirement plans with a mix of advisory offerings. Its services include a proprietary Consulting, Advice, Leadership, and Coaching (CALC) program, portfolio and custodial account management, access to separately managed accounts and sub‑advisers, and referrals to outside specialists.
The firm’s client process begins with a documented assessment of each client’s financial picture and alignment of goals, followed by tailored strategy design and ongoing monitoring. Investment methods combine fundamental and technical analysis and may employ long‑term and short‑term holdings as well as trading techniques; the brochure discloses use of options, short sales, margin and other alternative or derivative instruments where appropriate.
Distinctive features for a firm of this size include an explicit offering of pension and retirement‑plan consulting and the potential use of derivatives and borrowing within separately managed accounts. The brochure also discloses that representatives may be licensed to recommend insurance products (with commissions disclosed and applied as credits toward client retainers) and describes a parent company with several affiliated businesses and direct investment activities, with policies intended to address related conflicts of interest.
Client services
Portfolio management
Pension consulting
Selection of other advisers
Estate settlement
Expertise
Equity compensation tax strategy
Retirement plans for business owners (SEP, solo 401k)
Business exit / sale strategy
Private / alternative investments
Real estate investing
Occupation focus
Founder/Business Owner
Executive
Fee options
Hourly rates for Advisors: $125-$1,500; Analysts/Specialists: $100-$500; Administrative: $35-$175
Quarterly service retainer for Consulting, Advice, Leadership, and Coaching services (amount not specifically stated)
Minimum fee: Minimum engagement fee of $1,500 for Consulting, Advice, Leadership, and Coaching services Fee-only: Hourly fees for Consulting, Advice, Leadership, and Coaching services ranging from $35 to $1,500 per hour depending on staff role
Main office location
Southwestern Advisory Group LLC
105 East Road
Stephenville TX 76401, United States
Number of offices
3
Most active in
Southwestern Advisory Group LLC has reported serving >5 clients in these states in the last 12 months.
Louisiana · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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