Southwest Investment Advisors, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$379,576,966
Clients
1,149
Advisors
6
of 6 employees
About
Southwest Investment Advisors primarily serves individual clients, including high-net-worth households, and also provides investment advice to pension plans. The firm offers discretionary portfolio management billed as a percentage of assets, plus financial planning services available on fixed-fee or hourly bases and portfolio review engagements.
The firm's investment approach is asset-allocation driven using Modern Portfolio Theory with five model allocations from capital preservation to aggressive growth, typically implemented through mutual funds, ETFs, closed-end funds and UITs, with select use of individual bonds and tactical moves on the fixed-income side. SIA sponsors and manages its own Wrap Program—in which most managed clients are enrolled and pay a single all-inclusive fee—and requires custody at LPL Financial for discretionary accounts.
SIA manages roughly $387 million across about 1,150 client relationships served by four advisors, a client-per-advisor ratio that is notably higher than most comparable team firms and that aligns with reliance on standardized model portfolios and packaged investments. The brochure also discloses ongoing affiliations with LPL—several officers are registered representatives, and the firm has received transition payments and other economic benefits from LPL—which the firm identifies as potential conflicts of interest if clients implement recommendations through that custodian.
Client services
Expertise
Fee options
$300-$1,000 for portfolio review; $1,500 for financial plans.
$0 - $500,000: 1.25% $500,001 - $1,000,000: 1.00% $1,000,001 - $3,000,000: 0.85% $3,000,001+: 0.75%
Commissions earned by registered representatives for brokerage and insurance sales; trailing commissions for mutual funds in unmanaged accounts.
$200 per hour for portfolio review; $150 per hour for financial planning.
Main office
7594 N La Cholla
Tucson AZ 85741
Advisors at this office
6
Most active in
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Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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.
Quick links
Advisors at this firm
Douglas R
Series 66
Tucson, AZ
Southwest Investment Advisors, Inc.
Douglas Riegger is a financial advisor at Southwest Investment Advisors, Inc. in Tucson, AZ, holding a Series 66 designation with two years of industry experience. He has worked at LPL Financial LLC and Southwest Investment Advisors since 2023. Prior to his financial advisory career, he held various roles including ownership of a sole proprietorship and involvement in the hospitality sector. Southwest Investment Advisors primarily serves individual investors and pension-plan clients, offering discretionary investment management, portfolio reviews, and standalone financial planning. The firm manages approximately $325.7 million in client assets and employs an asset allocation approach based on Modern Portfolio Theory, utilizing a range of packaged investment vehicles and fixed-income securities.
Jacob B
Series 66
Tucson, AZ
Southwest Investment Advisors, Inc.
Jacob Brown is a financial advisor at Southwest Investment Advisors, Inc. in Tucson, AZ, holding a Series 66 designation with one year of industry experience. His prior work includes roles at LPL Financial and Inside Real Estate. Southwest Investment Advisors serves individual clients, including high-net-worth households, and pension plans with discretionary portfolio management and financial planning services. The firm uses an asset-allocation approach based on Modern Portfolio Theory and manages client assets primarily through mutual funds, ETFs, and fixed-income instruments.
David B
CFP®, Series 63, Series 65
Tucson, AZ
Southwest Investment Advisors, Inc.
David Bowen is a CFP® professional with 30 years of experience in the financial services industry. He is currently with Southwest Investment Advisors, Inc., where he has worked since 2024, following a 22-year tenure at LPL Financial, LLC. Bowen also manages a separate business entity for tax and investment purposes. Southwest Investment Advisors primarily serves individual clients, including high-net-worth households, and pension plans. The firm uses an asset-allocation approach based on Modern Portfolio Theory, offering discretionary portfolio management and financial planning services, with a focus on model portfolios and packaged investments.
Andrew C
Series 65, Series 66
Tucson, AZ
Southwest Investment Advisors, Inc.
Andrew Clarke is a financial advisor at Southwest Investment Advisors, Inc. in Tucson, AZ. He holds Series 65 and Series 66 licenses and has one year of industry experience. Prior to his current role, he worked with several entities within the BASIS Educational group from 2016 to 2026. Southwest Investment Advisors primarily serves individual clients, including high-net-worth households, and pension plans. The firm employs an asset-allocation approach based on Modern Portfolio Theory, offering discretionary portfolio management alongside financial planning and portfolio review services.
Richard Z
Series 63, Series 65
Tucson, AZ
Southwest Investment Advisors, Inc.
Richard Zich is a financial advisor with Southwest Investment Advisors, Inc. in Tucson, AZ, holding Series 63 and Series 65 licenses and six years of industry experience. He has worked at Southwest Investment Advisors and LPL Financial since 2019 and previously was involved with Coopers DIY, LLC. Outside of financial advising, he assists with accounting and website concepts for Trinity Diamonds Inc., a retail jewelry store run by his wife. Southwest Investment Advisors primarily serves individual investors and pension-plan clients, offering discretionary investment management, portfolio reviews, and financial planning. The firm manages approximately $325.7 million in client assets and employs an investment process based on Modern Portfolio Theory, utilizing model allocations and a variety of investment vehicles to meet client objectives.
Alexandra K
Series 66
Tucson, AZ
Southwest Investment Advisors, Inc.
Alexandra Kusler is a financial advisor with Southwest Investment Advisors, Inc. in Tucson, AZ, holding a Series 66 credential and 15 years of industry experience. She has worked at LPL Financial, LLC since 2017 and previously at National Planning Corporation from 2015 to 2017. Kusler also serves as a Dave Ramsey Endorsed Local Provider as an independent contractor. Southwest Investment Advisors primarily serves individual investors and a smaller number of pension-plan clients, offering discretionary investment management, portfolio reviews, and financial planning. The firm manages approximately $325.7 million in client assets, using an asset allocation approach based on Modern Portfolio Theory and a range of investment vehicles, with most accounts managed on a discretionary basis.
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