# Red Swan Private Client

> 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.

- CRD: 307278
- Filed as: RED SWAN PRIVATE CLIENT
- Legal name: Redswan PC, Inc
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Houston, TX
- Filing period: October 2026
- Form ADV filing dated: March 4, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/307278
- AdvisorCensus page: https://advisorcensus.com/firm/red-swan-private-client-houston-tx-307278

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Other

### Fees and minimums (Form ADV Part 2A brochure dated February 17, 2026)

- Account minimum: None

> There is no account minimum.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $165,260,000
- Discretionary: $0
- Non-discretionary: $165,260,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | $0 |
| High net worth individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 7 | $165,260,000 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2020 (6 years)
- Employees: 8 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- redswan.io
- Instagram @redswancre1
- LinkedIn @redswancre
- X @RedSwanCRE

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $188,187,999 | 4 | February 8, 2021 |
| October 2022 | $303,680,009 | 2 | April 4, 2022 |
| October 2023 | $1,042,259,998 | 4 | May 16, 2023 |
| October 2024 | $2,514,673,000 | 2 | March 27, 2024 |
| October 2025 | $2,443,073,000 | 8 | May 12, 2025 |
| October 2026 | $165,260,000 | 8 | March 4, 2026 |

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.

## Changes in the filing (last 12 months)

### March 2026
- Regulatory assets under management went from $2,443,073,000 to $165,260,000 (-93%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Red Swan Private Client (CRD 307278): Form ADV filing data as of October 2026.