Swan Global Investments provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for institutions.
Swan Global Investments reports 1,231 clients. They include 1,183 individual clients, 31 high-net-worth individuals and 17 investment companies. Of its assets, 100.0% ($2.39B across 1,231 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 96% | 16% |
| High-net-worth individuals | 3% | <1% |
| Investment companies | 1% | 84% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,183 | $380M | 15.9% | $321K |
| High-net-worth individuals | 31 | $12.7M | 0.5% | $409K |
| Investment companies | 17 | $2B | 83.6% | $117M |
| Total | 1,231 | $2.39B | 100% | $1.94M |
- Clients
- 1,183
- Regulatory AUM
- $380M
- AUM share
- 15.9%
- Avg. per client
- $321K
- Clients
- 31
- Regulatory AUM
- $12.7M
- AUM share
- 0.5%
- Avg. per client
- $409K
- Clients
- 17
- Regulatory AUM
- $2B
- AUM share
- 83.6%
- Avg. per client
- $117M
Total
- Clients
- 1,231
- Regulatory AUM
- $2.39B
- AUM share
- 100%
- Avg. per client
- $1.94M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Swan Global Investments 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 Global Investments and is in turn owned by Swan Wealth Advisors Holdings, Inc (25–50%) and Swan Capital Management Holdings, Inc (25–50%). The leadership team of Swan Global Investments includes Chief Compliance Officer Bradley Ackerman. It has 17 employees, 5 of them in advisory roles.
Leadership
- Bradley AckermanChief Compliance Officer
- Ethan BatesCFO
- Randall SwanCEO
- Robert SwanCOO
Investment adviser representatives
19 representatives listed in the SEC register as of 9 October 2026.
- Ethan Bates
- Chris Stephen Caswell
- Christopher Brian Hausman MR.
- Seth Christian Hiemstra
- David Osborn Lovell
- Eugene William Miller III
- Daniel Alexander Neagoy
- Zachary David Noonan
- Stephen Montana O'Connor-Seville
- Marc Kootoku Odo
- Alex Martin Prouty
- Walter Scott Stepanek
- Patrick Lester Stiefel
- Christian John Swan
- Randall William Swan MR.
- Robert Bradley Swan
- Jeffrey David Thomas
- Dolores Fernandez Wheless
- David Allen Whiteside
Staff
- 17 employees
- 5 in advisory functions
- 13 state-registered reps
- 1 broker-dealer rep
- 3 soliciting firms
- Owns 75% or more of Swan Global Investments, LLC
Swan Global Holdings-US, LLC
since December 2014
- Owns 25% to 50% of Swan Global Holdings-US, LLC
Swan Wealth Advisors Holdings, Inc
since December 2014
- Owns 50% to 75% of Swan Wealth Advisors Holdings, Inc
Randall Swan
Control person · since December 2014
- Owns 25% to 50% of Swan Global Holdings-US, LLC
Swan Capital Management Holdings, Inc
since December 2014
Swan Global Investments’ regulatory assets grew from $2.21B (March 2021) to $2.39B (March 2026); clients fell from 2,898 to 1,231 and employees from 18 to 17.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $2.39B | 1,231 | 17 | 1 |
| March 2025 | $2.41B | 1,969 | 17 | 1 |
| March 2024 | $2.11B | 2,483 | 18 | 1 |
| March 2023 | $2.2B | 3,144 | 18 | 1 |
| March 2022 | $2.55B | 2,974 | 16 | 1 |
| March 2021 | $2.21B | 2,898 | 18 | 1 |
Besides its headquarters, Swan Global Investments 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 Global Investments, LLC
- Headquarters
- 1099 Main Ave, Suite 206, Durango, CO 81301
- Website
- swanglobalinvestments.com
- Phone
- 970-382-8901
- SEC file
- 801-70881
- Structure
- Delaware LLC
- Fiscal year end
- December
Swan Global Investments uses Charles Schwab ($475M, 69%) and Pershing ($213M, 31%) as custodians for its separately managed accounts. Swan Global Investments does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $475M69%
- PershingPershing LLC · Jersey City, NJ · $213M31%
At year end, Swan Global Investments’ separately managed accounts were mostly in stocks (85%). Its reported 13F holdings for the quarter ended 30 June 2026 total $3.39B across 103 positions; the largest are SPDR S&P 500 ETF TR (put option) (34.1%), SPDR S&P 500 ETF TR (23.7%) and iShares TR (12.0%).
What the accounts hold
- Stocks85%
- Funds1%
- Cash2%
- Other12%
- Derivatives12%
Reported 13F holdings
- $3.39B
- Reported 13F value
- 103
- Positions
- 85.2%
- In the 10 largest
- +13.0%
- Value vs. prior quarter
- SPDR S&P 500 ETF TR · Spy PutPut34.1%
- SPDR S&P 500 ETF TR · Spy23.7%
- iShares TR · Ivv12.0%
- Select Sector SPDR TR · Xlk3.2%
- Pacer Fds TR · Psmo2.5%
- Pacer Fds TR · Psmd2.4%
- Pacer Fds TR · Psmj2.3%
- Pacer Fds TR · Psmr2.3%
- Pacer Fds TR · Pscw1.5%
- Pacer Fds TR · Pscq1.2%
Together, the ten largest are 85.2% of reported value.
How many clients does Swan Global Investments have?
Swan Global Investments has 1,231 clients and manages $2.39 billion for them, as of March 2026. They include 1,183 individual clients, 31 high-net-worth individuals and 17 investment companies.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 13 March 2026
What services does Swan Global Investments offer?
Swan Global Investments provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Swan Global Investments use?
Swan Global Investments’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $475M and Pershing LLC (Jersey City, NJ), with $213M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 March 2026
How many financial advisors does Swan Global Investments have?
Swan Global Investments has 13 investment adviser representatives registered with state securities authorities, out of 17 employees, and 5 perform investment advisory functions. 1 employee is a registered representative 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
What does Swan Global Investments invest in?
At the end of its last fiscal year, Swan Global Investments’ separately managed accounts held 85% exchange-traded equities, 12% derivatives, 2% cash and equivalents and 1% registered funds (mutual funds, ETFs, BDCs).
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Swan Global Investments?
Swan Global Investments is owned through a chain of holding companies by Swan Capital Management Holdings, Inc and Randall Swan. Its direct owner is Swan Global Holdings-US, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 13 March 2026
How does Swan Global Investments get paid?
Swan Global Investments 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 Global Investments registered with the SEC?
Yes, Swan Global Investments has been registered with the SEC as an investment adviser since 4 January 2010. Its CRD number is 114669 and its SEC file number is 801-70881.
Source: Form ADV Part 1A, Item 1, filed 13 March 2026; IAPD firm record
How do I contact Swan Global Investments?
Swan Global Investments’ main office is at 1099 Main Ave, Suite 206, Durango, CO 81301. Its phone number is 970-382-8901. Its website is swanglobalinvestments.com.