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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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Swan Global Investments have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Swan Global Investments invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Swan Global Investments?","answer":"Swan Global Investments is owned through a chain of holding companies by Swan Capital Management Holdings, Inc and Randall Swan. 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