AdvisorCensus / Financial advisors / Puerto Rico / Swan Global Management
Swan Global Management
Filed as SWAN GLOBAL MANAGEMENT · Legal name Swan Global Management LLC
Swan Global Management is an SEC-registered investment advisory firm in Humacao, PR, registered since 2014, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 18, 2026.
Quick answers
From the filingHow is Swan Global Management compensated?
On its Form ADV (Item 5.E, October 2026), Swan Global Management reports these compensation arrangements: a percentage of assets under its management.
Where is Swan Global Management located?
Swan Global Management's principal office is in Humacao, PR, according to its Form ADV.
Is Swan Global Management registered with the SEC or a state?
Swan Global Management is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 173621.
How much does Swan Global Management manage?
Swan Global Management reports $2,388,188,410 in regulatory assets under management in its Form ADV filing dated March 18, 2026 (100% discretionary).
How have Swan Global Management's assets and staff changed since 2021?
In the Form ADV data for Swan Global Management: Regulatory assets under management: $2,236,863,688 in the October 2021 data and $2,388,188,410 in the October 2026 data, up 7%. Total employees: 4 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Swan Global Management serve?
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).
Which custodians does Swan Global Management use?
Swan Global Management'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.
Does Swan Global Management 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/173621
Does Swan Global Management state an account minimum?
Its Form ADV Part 2A brochure dated March 18, 2026 says: "The Firm’s minimum account size is $250,000 which may be waived at the sole discretion of the Firm."
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
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: $250,000 (the brochure says it may be waived or negotiated)
The brochure's wording
The Firm’s minimum account size is $250,000 which may be waived at the sole discretion of the Firm.
As stated in the firm's Form ADV Part 2A brochure dated March 18, 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$2,388,188,410 as of October 2026, filing dated March 18, 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 investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Registration and firm details
Items 1, 2, 5- Legal name
- Swan Global Management LLC
- Also doing business as
- SWAN GLOBAL CONSULTING, LLC
- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2014 (11 years)
- Employees
- Total: 3. Performing investment advisory functions: 3.
- Wrap fee program participation
- No.
- Custodians (Schedule D, Section 5.K(3))
-
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.
- 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 | $2,388,188,410 | 3 | March 18, 2026 |
| October 2025 | $2,406,792,590 | 3 | March 25, 2025 |
| October 2024 | $2,105,953,989 | 3 | March 22, 2024 |
| October 2023 | $2,197,581,425 | 5 | March 24, 2023 |
| October 2022 | $2,566,330,870 | 5 | March 24, 2022 |
| October 2021 | $2,236,863,688 | 4 | March 24, 2021 |
Regulatory assets under management: $2,236,863,688 in the October 2021 data and $2,388,188,410 in the October 2026 data, up 7%.
Total employees: 4 in October 2021 and 3 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 monthsNo changes to these filed facts in the last 12 months of filing data.
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. Swan Global Management (CRD 173621): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/swan-global-management-humacao-pr-173621