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, LLC-structured registered investment adviser that began SEC registration in 2023 and is owned by an individual. The firm serves both individual/family and institutional clients and provides financial planning, portfolio management for individuals/small businesses, and portfolio management for pooled vehicles. Educational seminars and workshops are also part of its client-facing activities. Swan Capital’s fee model is mixed: it charges percentage-of-AUM fees alongside fixed fees, commissions and performance-based arrangements. The firm does not identify as an active ESG investor and is not registered as a multi-state adviser. Swan Capital participates on the sponsor/manager side of pooled vehicles and lists affiliations that include acting as an insurance company sponsor, general partner, and managing member of pooled investment vehicles. That operational posture complements its allocation activity and its role advising private funds.
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 6William Moy
Financial AdvisorCRD 7803408
Jamie Via
Investment Advisor RepresentativeCRD 7667111
Arthur Lima D'el Rei Fraga
Fund SpecialistCRD 8313966
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 133Active vs passive
$267M in ETFs
83%
$222M
<1%
$45.4M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD INDEX FUND (VYMI) | Vanguard | Passive | Foreign Large Value | $27.8M | 283,514 | 10.42% |
Location
, null
Location
, null
Headquartered in , null.
- Office locations
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