Swan Global Investments, LLC (Durango)

Name: Swan Global Investments, LLC
Address: 1099 Main Ave, Durango, CO, 81301
Telephone: 970-382-8901

Swan Global Investments, LLC is a large advisory firm based in Durango. It manages $4.06 billion of regulatory assets for 4,448 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdictions of California, Colorado, Florida, and 9 other states.

Swan Global Investments provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Swan Global Investments: assets under management

The assets under management (AUM) of Swan Global Investments, LLC is $4.06 billion. The firm's AUM has grown by 122% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $4.06 billion in discretionary accounts and $4.72 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $914.84 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $428.67 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 85% of the total AUM. The second-largest asset type is derivatives, which make up 12% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Swan Global Investments, LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Swan Global Investments serves?

The firm provides services to individuals, investment companies, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Swan Global Investments is investment companies with 5 clients and $2.62 billion of assets under management. Among the 10 most similar advisory firms, Swan Global Investments has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $4.06 billion for 4,448 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Swan Global Investments doesn't advise any private funds.

Careers at Swan Global Investments, LLC

The company employs 20 people that are either part- or full-time employees. 30 percent of the employees work as investment advisers or researchers. 8 employees are registered as investment adviser representatives with the state securities authorities.

There are 4 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Randall William Swan	Ceo	1 Jun 1999	Other	4464653
James A Engelken	Chief compliance officer	1 Sep 2011	Other	5409511
Laura K Swan	Member	1 Oct 2014	Other	6446463
Robert Bradley Swan	Coo	1 Dec 2014	Other	5745866
Llc Swan Global Holdings Us	Owner	1 Dec 2014	75% - 100%	47-2545351
Bradley Owen Ackerman	Chief compliance officer	1 Jul 2018	Other	2552096

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc Swan Wealth Advisors Holdings	Owner	1 Dec 2014	25% - 50%	47-2460833
Inc Swan Capital Management Holdings	Owner	1 Dec 2014	25% - 50%	47-2460907
Randall William Swan	Owner	1 Dec 2014	50% - 75%	4464653

Based in Durango

The principal office where Swan Global Investments, LLC performs its advisory services is located at 1099 Main Ave, Durango, CO 81301, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 970-382-8901 or by fax 970-382-8901. The normal business hours are 6:30 - 5:00 on Monday - Friday. You can find more information about the New York firm at swanwealthadvisors.com.