Swan Capital
Firm details
- Headquarters
- ,
- CRD number
- 305793
- Registered since
- April 27, 2023
- Website
- swan-capital.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Fixed Fees, Commissions, Performance Based Fees
- Client types
- HNWI55.26%
- Individuals35.98%
- Pooled Investment Vehicles8.76%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesEducational Seminars / Workshops
Firm profile
FINTRXOverview
Swan Capital is an independent registered investment adviser organized as an LLC and SEC-registered in 2023. The firm serves both individual/family and institutional clients and offers a mix of fee arrangements, including percentage-of-AUM, fixed fees, commission-based work and performance-based fees. Core advisory services listed include financial planning, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and educational seminars or workshops. The firm has activity as a sponsor and general partner or managing member of pooled vehicles, indicating it not only manages client accounts but also sponsors private funds. Swan Capital is not positioned as an ESG-focused manager and does not identify as a multistate or pension consultant adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Public Funds/Mutual Funds78%
- Exchange Traded Equities14%
- Cash & Cash Equivalents8%
- Investment Grade Corp Bonds1%
Contacts
3 of 5William Moy
Financial AdvisorCRD 7803408
Jamie Via
Investment Advisor RepresentativeCRD 7667111
Jacob Hawkins
Portfolio SpecialistCRD 8165890
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 127Active vs passive
$247M in ETFs
84%
$208M
<1%
$38.8M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD INDEX FUND (VYMI) | Vanguard | Passive | Foreign Large Value | $26.6M | 282,677 | 10.77% |
Location
, null
Location
, null
Headquartered in , null.
- Office locations
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