{"url":"https://nivawealth.com/firms/swan-capital-management-164280","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164280","regulatoryAum":1300855577,"crd":"164280","history":[{"filedOn":"2021-03-12","regulatoryAum":1412012200,"clients":9,"employees":8,"offices":1},{"filedOn":"2022-03-11","regulatoryAum":1542450457,"clients":6,"employees":9,"offices":1},{"filedOn":"2023-03-23","regulatoryAum":1194660143,"clients":6,"employees":7,"offices":1},{"filedOn":"2024-03-19","regulatoryAum":1385289297,"clients":20,"employees":8,"offices":1},{"filedOn":"2025-03-18","regulatoryAum":1713924685,"clients":17,"employees":5,"offices":1},{"filedOn":"2026-03-03","regulatoryAum":1300855577,"clients":8,"employees":5,"offices":1}],"secFileNumber":"801-76701","legalName":"Swan Capital Management, LLC","displayName":"Swan Capital Management","slug":"swan-capital-management-164280","website":"https://swanglobalinvestments.com/","classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"founded":null,"organization":"Colorado limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1099 Main Ave., Suite 206","city":"Durango","state":"CO","stateName":"Colorado","country":"United States","postalCode":"81301"},"tradeNames":[],"registration":{"secApproved":"25 May 2012","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":5,"advisory":1,"brokerDealerReps":5,"insuranceAgents":0,"promoters":3},"aum":{"regulatory":1300855577,"discretionary":1300855577,"discretionaryAccounts":8,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":8,"regulatoryAum":1300855577}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Swan Capital Management does not have custody of client assets.","leadership":[{"name":"Randall Swan","title":"President/Chief Executive Officer","crd":"4464653"},{"name":"Bradley Ackerman","title":"CCO","crd":"2552096"},{"name":"Ethan Bates","title":"CFO","crd":"6277565"},{"name":"Robert Swan","title":"COO","crd":"5745866"}],"ownership":[{"label":"Swan Global Holdings-US, LLC","detail":"Owner in the 75% or more ownership band, since December 2014."},{"label":"Randall Swan","detail":"Indirect owner: a owner of Swan Wealth Advisors Holdings, Inc in the 25% to 50% band and a control person, since December 2014.","parent":"Swan Wealth Advisors Holdings, Inc"},{"label":"Swan Capital Management Holdings, Inc","detail":"Indirect owner: a owner of Swan Global Holdings-US, LLC in the 25% to 50% band, since December 2014.","parent":"Swan Global Holdings-US, LLC"},{"label":"Swan Wealth Advisors Holdings, Inc","detail":"Indirect owner: a owner of Swan Global Holdings-US, LLC in the 25% to 50% band, since December 2014.","parent":"Swan Global Holdings-US, LLC"}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"1099 Main Ave., Suite 206","city":"Durango","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"970-382-8901","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"3 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/164280/PDF/164280.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Swan Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Swan Capital Management offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Swan Capital Management have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Swan Capital Management?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Swan Capital Management get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Swan Capital Management registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Swan Capital Management?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 3 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}