Swan Capital Management provides portfolio management for investment companies.
Swan Capital Management reports 8 investment companies. These counts refer to investment vehicles, rather than the individual investors in them. Of its assets, 100.0% ($1.3B across 8 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Investment companies | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Investment companies | 8 | $1.3B | 100.0% | $163M |
| Total | 8 | $1.3B | 100% | $163M |
- Clients
- 8
- Regulatory AUM
- $1.3B
- AUM share
- 100.0%
- Avg. per client
- $163M
Total
- Clients
- 8
- Regulatory AUM
- $1.3B
- AUM share
- 100%
- Avg. per client
- $163M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Swan Capital Management is paid through a percentage of assets under management; its fees and minimums are set out in its brochures on the SEC website.
Swan Global Holdings-US, LLC owns 75% or more of Swan Capital Management and is in turn owned by Swan Capital Management Holdings, Inc (25–50%) and Swan Wealth Advisors Holdings, Inc (25–50%). Randall Swan is CEO. It has 5 employees, 1 of them in advisory roles.
Leadership
- Randall SwanPresident/Chief Executive Officer
- Bradley AckermanCCO
- Ethan BatesCFO
- Robert SwanCOO
Staff
- 5 employees
- 1 in advisory functions
- 4 state-registered reps
- 5 broker-dealer reps
- 3 soliciting firms
- Owns 75% or more of Swan Capital Management, LLC
Swan Global Holdings-US, LLC
since December 2014
- Owns 25% to 50% of Swan Global Holdings-US, LLC
Swan Capital Management Holdings, Inc
since December 2014
- Owns 25% to 50% of Swan Global Holdings-US, LLC
Swan Wealth Advisors Holdings, Inc
since December 2014
- Owns 25% to 50% of Swan Wealth Advisors Holdings, Inc
Randall Swan
Control person · since December 2014
Swan Capital Management’s regulatory assets fell from $1.41B (March 2021) to $1.3B (March 2026); clients fell from 9 to 8 and employees from 8 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $1.3B | 8 | 5 | 1 |
| March 2025 | $1.71B | 17 | 5 | 1 |
| March 2024 | $1.39B | 20 | 8 | 1 |
| March 2023 | $1.19B | 6 | 7 | 1 |
| March 2022 | $1.54B | 6 | 9 | 1 |
| March 2021 | $1.41B | 9 | 8 | 1 |
Besides its headquarters, Swan Capital Management has 0 offices, with 1 listed address in Colorado.
Colorado · 1 listed address
- 1099 Main Ave., Suite 206, DurangoHQ
Contact and registration details
- Legal name
- Swan Capital Management, LLC
- Headquarters
- 1099 Main Ave., Suite 206, Durango, CO 81301
- Website
- swanglobalinvestments.com
- Phone
- 970-382-8901
- SEC file
- 801-76701
- Structure
- Colorado LLC
- Fiscal year end
- December
Swan Capital Management does not have custody of client assets.
How many clients does Swan Capital Management have?
Swan Capital Management has 8 clients and manages $1.3 billion for them, as of March 2026. They include 8 investment companies.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 3 March 2026
What services does Swan Capital Management offer?
Swan Capital Management provides portfolio management for investment companies.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Swan Capital Management have?
Swan Capital Management has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 1 perform investment advisory functions. 5 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
Who owns Swan Capital Management?
Swan Capital Management is owned through a chain of holding companies by Randall Swan and Swan Capital Management Holdings, Inc. Its direct owner is Swan Global Holdings-US, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 3 March 2026
How does Swan Capital Management get paid?
Swan Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Swan Capital Management registered with the SEC?
Yes, Swan Capital Management has been registered with the SEC as an investment adviser since 25 May 2012. Its CRD number is 164280 and its SEC file number is 801-76701.
Source: Form ADV Part 1A, Item 1, filed 3 March 2026; IAPD firm record
How do I contact Swan Capital Management?
Swan Capital Management’s main office is at 1099 Main Ave., Suite 206, Durango, CO 81301. Its phone number is 970-382-8901. Its website is swanglobalinvestments.com.