{
  "crd_number": 114669,
  "slug": "swan-global-investments-llc-durango-co-114669",
  "primary_business_name": "SWAN GLOBAL INVESTMENTS, LLC",
  "legal_name": "SWAN GLOBAL INVESTMENTS, LLC",
  "dbas": [],
  "city": "Durango",
  "state": "CO",
  "country": "United States",
  "cbsa_code": "20420",
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2010-01-04",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-03-13",
  "carried_forward": false,
  "raum_total": 2388188410.0,
  "raum_discretionary": 2388188410.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 17,
  "advisory_employees": 5,
  "client_count_bucket": null,
  "clients_by_type": {
    "individuals": {
      "raum": 379795622.0,
      "count": 1183
    },
    "investment_companies": {
      "raum": 1995705205.0,
      "count": 17
    },
    "high_net_worth_individuals": {
      "raum": 12687583.0,
      "count": 31
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CA",
    "CO",
    "FL",
    "IL",
    "MA",
    "MD",
    "MI",
    "NJ",
    "NY",
    "PR",
    "TX",
    "VA"
  ],
  "websites": [
    "https://etfs.swanglobalinvestments.com",
    "https://funds.swanglobalinvestments.com",
    "https://swanglobalinvestments.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/114669",
  "city_as_filed": "DURANGO",
  "url": "https://advisorcensus.com/firm/swan-global-investments-llc-durango-co-114669",
  "display_name": "Swan Global Investments, LLC",
  "summary": "Swan Global Investments, LLC is an SEC-registered investment advisory firm in Durango, CO, registered since 2010, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 13, 2026.",
  "citation": "AdvisorCensus. Swan Global Investments, LLC (CRD 114669): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is Swan Global Investments, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Swan Global Investments, LLC reports these compensation arrangements: a percentage of assets under its management."
    },
    {
      "q": "How much does Swan Global Investments, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 13, 2026 states: Asset-based fee: 0.5% to 1.25% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Swan Global Investments, LLC located?",
      "a": "Swan Global Investments, LLC's principal office is in Durango, CO, according to its Form ADV."
    },
    {
      "q": "Is Swan Global Investments, LLC registered with the SEC or a state?",
      "a": "Swan Global Investments, LLC is an SEC-registered investment advisory firm, registered since 2010. Status as filed: Approved. CRD 114669."
    },
    {
      "q": "How much does Swan Global Investments, LLC manage?",
      "a": "Swan Global Investments, LLC reports $2,388,188,410 in regulatory assets under management in its Form ADV filing dated March 13, 2026 (100% discretionary)."
    },
    {
      "q": "How have Swan Global Investments, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Swan Global Investments, LLC: Regulatory assets under management: $2,207,816,029 in the October 2021 data and $2,388,188,410 in the October 2026 data, up 8%. Total employees: 18 in October 2021 and 17 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Swan Global Investments, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,183); high net worth individuals (31); investment companies (17)."
    },
    {
      "q": "Which custodians does Swan Global Investments, LLC use?",
      "a": "Swan Global Investments, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Pershing LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Swan Global Investments, LLC report any disciplinary disclosures?",
      "a": "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/114669"
    },
    {
      "q": "Does Swan Global Investments, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 13, 2026 says: \"The Firm’s minimum account size is $250,000 which may be waived at the sole discretion of the Firm.\""
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 2207816029.0,
      "total_employees": 18,
      "filing_date": "2021-03-12"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 2545157891.0,
      "total_employees": 16,
      "filing_date": "2022-03-15"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 2202238420.0,
      "total_employees": 18,
      "filing_date": "2023-03-24"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 2105953989.0,
      "total_employees": 18,
      "filing_date": "2024-03-20"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2406792590.0,
      "total_employees": 17,
      "filing_date": "2025-03-18"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2388188410.0,
      "total_employees": 17,
      "filing_date": "2026-03-13"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 13, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": "0.5% to 1.25% a year",
    "stated_maximum": null,
    "account_minimum": "$250,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Asset-based fee",
        "statements": [
          "Asset-based fee: 0.5% to 1.25% a year (a range, as the brochure states it)"
        ],
        "quotes": [
          "Swan charges a negotiable asset based fee ranging between 0.50% to 1.25% per annum based on an annualized percentage of total monies invested, as authorized per client agreement, applied on a daily, monthly, or quarterly basis."
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $250,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "The Firm’s minimum account size is $250,000 which may be waived at the sole discretion of the Firm."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": [
        0.5,
        1.25
      ],
      "max_pct": null,
      "account_minimum": 250000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "Swan charges a negotiable asset based fee ranging between 0.50% to 1.25% per annum based on an annualized percentage of total monies invested, as authorized per client agreement, applied on a daily, monthly, or quarterly basis.",
      "The Firm’s minimum account size is $250,000 which may be waived at the sole discretion of the Firm."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Pershing LLC",
      "name_as_filed": "PERSHING LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/swan-global-investments-llc-durango-co-114669.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 1183,
      "fewer_than_5": false,
      "raum": 379795622.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 31,
      "fewer_than_5": false,
      "raum": 12687583.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 17,
      "fewer_than_5": false,
      "raum": 1995705205.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/114669",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}