{ "crd_number": 292755, "slug": "swan-wealth-advisors-llc-durango-co-292755", "primary_business_name": "SWAN WEALTH ADVISORS, LLC", "legal_name": "SWAN WEALTH ADVISORS, LLC", "dbas": [], "city": "Durango", "state": "CO", "country": "United States", "cbsa_code": "20420", "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2018-03-16", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-03-25", "carried_forward": false, "raum_total": 98043665.0, "raum_discretionary": 98043665.0, "raum_non_discretionary": 0.0, "raum_band": "25m_100m", "raum_band_label": "$25 million to $100 million", "total_employees": 2, "advisory_employees": 2, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 98043665.0, "count": 47, "description": "FAMILY OFFICE" } }, "compensation_types": [ "fixed", "percentage_of_aum" ], "advisory_activities": [ "other" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CO", "FL", "LA", "PR", "TX" ], "websites": [ "https://swanglobalinvestments.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/292755", "city_as_filed": "DURANGO", "url": "https://advisorcensus.com/firm/swan-wealth-advisors-llc-durango-co-292755", "display_name": "Swan Wealth Advisors, LLC", "summary": "Swan Wealth Advisors, LLC is an SEC-registered investment advisory firm in Durango, CO, registered since 2018, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated March 25, 2026.", "citation": "AdvisorCensus. Swan Wealth Advisors, LLC (CRD 292755): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Other" ], "quick_answers": [ { "q": "How is Swan Wealth Advisors, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Swan Wealth Advisors, LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees)." }, { "q": "What does Swan Wealth Advisors, LLC's brochure say about its fees?", "a": "Its Form ADV Part 2A brochure dated March 25, 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 Wealth Advisors, LLC located?", "a": "Swan Wealth Advisors, LLC's principal office is in Durango, CO, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Swan Wealth Advisors, LLC registered with the SEC or a state?", "a": "Swan Wealth Advisors, LLC is an SEC-registered investment advisory firm, registered since 2018. Status as filed: Approved. CRD 292755." }, { "q": "How much does Swan Wealth Advisors, LLC manage?", "a": "Swan Wealth Advisors, LLC reports $98,043,665 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (100% discretionary)." }, { "q": "How have Swan Wealth Advisors, LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for Swan Wealth Advisors, LLC: Regulatory assets under management: $103,499,565 in the October 2021 data and $98,043,665 in the October 2026 data, down 5%. Total employees: 2 in October 2021 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Swan Wealth Advisors, LLC serve?", "a": "By number of clients on Form ADV Item 5.D: other (47)." }, { "q": "Which custodians does Swan Wealth Advisors, LLC use?", "a": "Swan Wealth Advisors, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Pershing LLC as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Swan Wealth Advisors, 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/292755" }, { "q": "Does Swan Wealth Advisors, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated March 25, 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": 103499565.0, "total_employees": 2, "filing_date": "2021-03-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 87011064.0, "total_employees": 2, "filing_date": "2022-03-28" }, { "period": "2023-10-01", "regulatory_assets_under_management": 69508177.0, "total_employees": 3, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 85728719.0, "total_employees": 3, "filing_date": "2024-03-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": 89821538.0, "total_employees": 3, "filing_date": "2025-03-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 98043665.0, "total_employees": 2, "filing_date": "2026-03-25" } ], "recent_changes": [], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 25, 2026", "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, "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." ] } ], "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": "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-wealth-advisors-llc-durango-co-292755.md", "clients": [ { "type": "other", "label": "Other", "count": 47, "fewer_than_5": false, "raum": 98043665.0 } ], "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/292755", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }