SWAN GLOBAL INVESTMENTS, LLC
Firm details
- Headquarters
- DURANGO, Colorado
- CRD number
- 114669
- Registered since
- January 4, 2010
- Custodians
- CHARLES SCHWAB & CO., INC., PERSHING LLC
- Fee structure
- Percentage of AUM
- Client types
- Investment Companies83.57%
- Individuals15.9%
- HNWI0.53%
- Services
- Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Swan Global Investments, LLC is an independent, SEC‑registered registered investment adviser formed as an LLC and operating as a capital allocator. The firm provides fee‑based portfolio management for individuals and small businesses, investment companies, and institutional or business clients. Its client base includes both individual/family and institutional investors. Swan Global reports it is not an active ESG investor and it uses a percentage‑of‑AUM fee model.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities85%
- Derivatives12%
- Cash & Cash Equivalents2%
- Public Funds/Mutual Funds1%
Owners & executives
3 of 3ROBERT SWAN
Portfolio Manager, Chief Operating OfficerCRD 5745866
BRADLEY ACKERMAN
Chief Compliance OfficerCRD 2552096
ETHAN BATES
CFOCRD 6277565
Contacts
3 of 17Eugene Miller
Managing DirectorCRD 6861741
ZACHARY NOONAN
Senior TraderCRD 7079482
CHRIS CASWELL
Regional DirectorCRD 6128752
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 57Active vs passive
$2.3B in ETFs
75%
$1.7B
25%
$579M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TRUST (SPY) | State Street | Passive | Large Blend | $647M | 995,392 | 28.20% |
Location
DURANGO, CO
LA PLATA
Location
DURANGO, CO
Headquartered in DURANGO, CO, in the West of the United States.
- Region
- West
- County
- LA PLATA
- Address
- 1099 Main Ave
- Time zone
- MT (UTC-7)
- Office locations
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