SWAN GLOBAL INVESTMENTS, LLC

RIASEC RegisteredEst. 2010

Total AUM

$2.4B

Discretionary

$2.4B

100% of AUM

Avg account

$1.9M

Accounts

1,231

Employees

17

Advisory reps

20

Firm details

Headquarters: DURANGO, Colorado
CRD number: 114669
Registered since: January 4, 2010
Website: www.swanglobalinvestments.com
Custodians: CHARLES SCHWAB & CO., INC., PERSHING LLC
Fee structure: Percentage of AUM
Client types: Investment Companies83.57%
Individuals15.9%
HNWI0.53%
Services: Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Swan Global Investments, LLC is an independent, SEC‑registered registered investment adviser formed as an LLC and operating as a capital allocator. The firm provides fee‑based portfolio management for individuals and small businesses, investment companies, and institutional or business clients. Its client base includes both individual/family and institutional investors. Swan Global reports it is not an active ESG investor and it uses a percentage‑of‑AUM fee model.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities85%
Derivatives12%
Cash & Cash Equivalents2%
Public Funds/Mutual Funds1%

Owners & executives

3 of 3

ROBERT SWAN
Portfolio Manager, Chief Operating OfficerCRD 5745866
BRADLEY ACKERMAN
Chief Compliance OfficerCRD 2552096
ETHAN BATES
CFOCRD 6277565

Contacts

3 of 17

Eugene Miller
Managing DirectorCRD 6861741
ZACHARY NOONAN
Senior TraderCRD 7079482
CHRIS CASWELL
Regional DirectorCRD 6128752

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 57

Active vs passive

$2.3B in ETFs

Passive

75%

$1.7B

Active

25%

$579M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
SPDR S&P 500 ETF TRUST (SPY)	State Street	Passive	Large Blend	$647M	995,392	28.20%

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Primary office

DURANGO, CO

LA PLATA

Location

DURANGO, CO

Headquartered in DURANGO, CO, in the West of the United States.

Region: West
County: LA PLATA
Address: 1099 Main Ave
Time zone: MT (UTC-7)
Office locations

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