SWAN GLOBAL MANAGEMENT
SWAN GLOBAL MANAGEMENT LLC Legal Name
Adviser information for SWAN GLOBAL MANAGEMENT last updated from Form ADV on March 22nd, 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 | Puerto Rico, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 2,483 | $2.1B |
| Non-Discretionary | 0 | $0 |
| Total | 2,483 | $2.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,420 | $710.6M |
| HNW Individuals | 43 | $7.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 20 | $1.4B |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-80552 |
|---|---|
| SEC ERA File Number | 801-80552 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 173621 |
| Legal Entity Identifier | None |
Principal Office
20 RIDGE TOP DR.PALMAS DEL MAR
HUMACAO
PR
United States
Monday - Friday, 7:00 AM - 5:00 PM
Tel: 970-382-9055, Fax: None
Chief Compliance Officer
BRAD ACKERMAN
2979 WEST BAY DR.
STE 16
BELLEAIR BLUFFS
FL
United States
Tel:
970-382-8901X207
B************@************************M
(Full email address available in API data)
Regulatory Contact
ETHAN BATES
CHIEF FINANCIAL OFFICER
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 WEALTH ADVISORS, LLC | 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 | – | CEO, MANAGING MEMBER | 10/2014 | 50-75% |
| SWAN, LAURA, K | Individual | – | MEMBER | 10/2014 | 10-25% |
| ACKERMAN, BRADLEY, OWEN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2018 | < 5% |
| BATES, ETHAN | Individual | – | CFO | 03/2014 | < 5% |