AdvisorCensus / Financial advisors / Texas / Houston / Red Swan Private Client
Red Swan Private Client
Filed as RED SWAN PRIVATE CLIENT · Legal name Redswan PC, Inc
Red Swan Private Client is an SEC-registered investment advisory firm in Houston, TX, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 4, 2026.
Quick answers
From the filingHow is Red Swan Private Client compensated?
On its Form ADV (Item 5.E, October 2026), Red Swan Private Client reports these compensation arrangements: a percentage of assets under its management; other.
Where is Red Swan Private Client located?
Red Swan Private Client's principal office is in Houston, TX, according to its Form ADV.
Is Red Swan Private Client registered with the SEC or a state?
Red Swan Private Client is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 307278.
How much does Red Swan Private Client manage?
Red Swan Private Client reports $165,260,000 in regulatory assets under management in its Form ADV filing dated March 4, 2026 (0% discretionary).
How have Red Swan Private Client's assets and staff changed since 2021?
In the Form ADV data for Red Swan Private Client: Regulatory assets under management: $188,187,999 in the October 2021 data and $165,260,000 in the October 2026 data, down 12%. Total employees: 4 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Red Swan Private Client serve?
By number of clients on Form ADV Item 5.D: corporations or other businesses not listed above (7).
Does Red Swan Private Client report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/307278
Does Red Swan Private Client state an account minimum?
Its Form ADV Part 2A brochure dated February 17, 2026 says: "There is no account minimum."
What changed in Red Swan Private Client's recent Form ADV filings?
In the March 2026 filing data: Regulatory assets under management went from $2,443,073,000 to $165,260,000 (-93%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2AAccount minimum: None
The brochure's wording
There is no account minimum.
As stated in the firm's Form ADV Part 2A brochure dated February 17, 2026. Fees can differ by service and may be negotiable; the brochure is the complete statement. Read the brochure on the SEC's IAPD site
Regulatory assets under management
Item 5.F$165,260,000 as of October 2026, filing dated March 4, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Legal name
- Redswan PC, Inc
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2020 (6 years)
- Employees
- Total: 8. Performing investment advisory functions: 2.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $165,260,000 | 8 | March 4, 2026 |
| October 2025 | $2,443,073,000 | 8 | May 12, 2025 |
| October 2024 | $2,514,673,000 | 2 | March 27, 2024 |
| October 2023 | $1,042,259,998 | 4 | May 16, 2023 |
| October 2022 | $303,680,009 | 2 | April 4, 2022 |
| October 2021 | $188,187,999 | 4 | February 8, 2021 |
Regulatory assets under management: $188,187,999 in the October 2021 data and $165,260,000 in the October 2026 data, down 12%.
Total employees: 4 in October 2021 and 8 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- March 2026
- Regulatory assets under management went from $2,443,073,000 to $165,260,000 (-93%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Red Swan Private Client (CRD 307278): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/red-swan-private-client-houston-tx-307278