SWAN WEALTH ADVISORS, LLC
Adviser information for SWAN WEALTH ADVISORS, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 37 | $85.7M |
| Non-Discretionary | 0 | $0 |
| Total | 37 | $85.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 37 | $85.7M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | FAMILY OFFICE ADVISORY |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-112612 |
|---|---|
| SEC ERA File Number | 801-112612 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 292755 |
| Legal Entity Identifier | 61-1857114 |
Principal Office
1099 MAIN AVE.SUITE 206
DURANGO
CO
United States
Monday - Friday, 7:00 - 5:00
Tel: 970-382-8901, Fax: None
Websites
Chief Compliance Officer
BRAD ACKERMAN
2979 WEST BAY DR.
SUITE 16
BELLEAIR BLUFFS
FL
United States
Tel:
970-382-8901
B************@************************M
(Full email address available in API data)
Regulatory Contact
ETHAN BATES
1099 MAIN AVE. SUITE 206
DURANGO
CO
United States
Tel:
9703828901
E**********@************************M
(Full email address available in API data)
Industry Affiliates
| SWAN CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
| SWAN GLOBAL INVESTMENTS, LLC | Other investment adviser, including financial planners |
| SWAN GLOBAL MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SWAN, RANDALL, WILLIAM | Individual | SWAN GLOBAL HOLDINGS-US, LLC | OWNER | 09/2017 | 50-75% |
| SWAN, RANDALL, WILLIAM | Individual | – | CEO | 09/2017 | < 5% |
| Miller, Eugene, William | Individual | – | PRESIDENT | 09/2017 | < 5% |
| SWAN GLOBAL HOLDINGS-US, LLC | Domestic Entity | – | MEMBER | 09/2017 | > 75% |
| SWAN WEALTH ADVISORS HOLDINGS, INC | Domestic Entity | SWAN GLOBAL HOLDINGS-US, LLC | OWNER | 09/2017 | 25-50% |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | Domestic Entity | SWAN GLOBAL HOLDINGS-US, LLC | OWNER | 09/2017 | 25-50% |
| SWAN, RANDALL, WILLIAM | Individual | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | OWNER | 09/2017 | 50-75% |
| ACKERMAN, BRADLEY, OWEN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2018 | < 5% |
| BATES, ETHAN | Individual | – | CFO | 10/2013 | < 5% |