SWAN GLOBAL INVESTMENTS, LLC

CRD

114669

SEC file #

801-70881

EIN

841504885

DBA names

—

Economics

AUM

$2.39B

AUM band

$1B+

AUM trajectory

'20 · $4.06B

'21 · $3.07B

'22 · $2.21B

'23 · $2.55B

'25 · $2.41B

'26 · $2.39B

'20'26

$4.06B → $2.39B▼ -41%

sec adv history

Client mix

Individuals Other	1,183
Individuals High Net Worth	31
Investment Companies	17

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 6 advisors

'21 · 6 advisors

'22 · 5 advisors

'23 · 5 advisors

'25 · 5 advisors

'26 · 5 advisors

'20'26

6 advisors → 5 advisors▼ -17%

sec adv history

Primary office

DURANGO CO

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businesses

Fee basis

% of AUM

Filings

Latest ADV filing

03/13/2026

etfs.swanglobalinvestments.com

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

SWAN GLOBAL HOLDINGS-US, LLC

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

SWAN GLOBAL HOLDINGS-US, LLC

SWAN, RANDALL, WILLIAM

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001591505

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2014-02-14

Edgar Last Filing Date

2026-05-07

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-07

Accession0001591505-26-000003

Edgar Former Names

Swan Wealth Advisors, Inc.

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	6
Pershing	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

1099 MAIN AVE.SUITE 206DURANGO, CO 81301

Business

1099 MAIN AVE.SUITE 206DURANGO, CO 81301

Edgar EIN

841504885

Edgar Recent Filings

13F-HR2026-05-07 · 0001591505-26-000003

13F-HR2026-02-11 · 0001591505-26-000002

Firm Has Custody

Mailing Office Differs

Trust Company Affiliate