SWAN GLOBAL INVESTMENTS, LLC

HTTP://WWW.SWANWEALTHADVISORS.COM DURANGO, CO Investment Advisor How do I update this listing?

Swan Global Investments is based out of Durango. Swan Global Investments is a large advisory firm with 4448 clients and discretionary assets under management (AUM) of $4,059,164,525 (Form ADV from 2019-03-07). Their last reported 13F filing for Q3 2019 included $5,457,501,000 in managed 13F securities and a top 10 holdings concentration of 78.94%. Swan Global Investments's largest holding is SPDR S&P 500 ETF Trust with shares held of 6,354,500. Swan Global Investments has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 25 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $5.458 Billion
  • Prior Market Value $5.104 Billion
  • New Purchases0 stocks
  • Additional Purchases6 stocks
  • Sold out of3 stocks
  • Reduced holdings in23 stocks
  • Top 10 Holdings % 78.94 %
  • Turnover % [1]:8.57%
  • Turnover Alt % [2]: 12.75 %
  • Time Held Top20:15.90 quarters
  • Time Held Top10:14.20 quarters
  • Time Held All:12.71 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 5.7%
Performance Last 4 Quarters: 11.83%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR/A (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Swan Capital Management, LLC

View Last Form Adv Compilation Report on Record

SWAN GLOBAL INVESTMENTS, LLC
1099 MAIN AVE SUITE 206
DURANGO CO    81301
Country: United States

Business Phone: 970-382-8901
Fax: 970-382-8901
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 20
Other Business Activities: accountant or accounting firm
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 4448
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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SWAN GLOBAL INVESTMENTS, LLC

ownership team - last updated 2019-03-07
Name Title Start Date Direct/Indirect % Ownership
SWAN, RANDALL, WILLIAM CEO 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
SWAN CONSULTING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-06-01
SWAN WEALTH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO, MANAGING MEMBER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 2012-05-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN GLOBAL MANAGEMENT LLC CEO, MANAGING MEMBER direct 2014-10-01
SWAN GLOBAL CONSULTING LLC CEO direct 2014-10-01
SWAN, ROBERT, BRADLEY COO 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SWAN GLOBAL INVESTMENTS, LLC COO direct 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC COO direct 2014-12-01
SWAN GLOBAL HOLDINGS-US, LLC OWNER 12/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
SWAN GLOBAL INVESTMENTS, LLC OWNER direct 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER direct 2014-12-01
ACKERMAN, BRADLEY, OWEN CHIEF COMPLIANCE OFFICER 07/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, RIA COMPLIANCE direct 2013-09-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, INTERIM CHIEF COMPLIANCE OFFICER, RIA direct 2015-03-01
SWAN WEALTH ADVISORS HOLDINGS, INC OWNER SWAN GLOBAL HOLDINGS-US, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT HOLDINGS, INC OWNER SWAN GLOBAL HOLDINGS-US, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN, RANDALL, WILLIAM OWNER SWAN WEALTH ADVISORS HOLDINGS, INC 12/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SWAN CONSULTING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-06-01
SWAN WEALTH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO, MANAGING MEMBER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 2012-05-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN GLOBAL MANAGEMENT LLC CEO, MANAGING MEMBER direct 2014-10-01
SWAN GLOBAL CONSULTING LLC CEO direct 2014-10-01
SWAN, RANDALL, WILLIAM OWNER SWAN CAPITAL MANAGEMENT HOLDINGS, INC 12/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SWAN CONSULTING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-06-01
SWAN WEALTH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO, MANAGING MEMBER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 2012-05-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN GLOBAL MANAGEMENT LLC CEO, MANAGING MEMBER direct 2014-10-01
SWAN GLOBAL CONSULTING LLC CEO direct 2014-10-01

SWAN GLOBAL INVESTMENTS, LLC

ownership team - last updated 2017-03-27
Name Title Start Date Direct/Indirect % Ownership
SWAN, RANDALL, WILLIAM CEO 06/01/1999 Direct less than 5%
Fund Name Position direct/indirect start date end date
SWAN CONSULTING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-06-01
SWAN WEALTH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO, MANAGING MEMBER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 2012-05-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN GLOBAL MANAGEMENT LLC CEO, MANAGING MEMBER direct 2014-10-01
SWAN GLOBAL CONSULTING LLC CEO direct 2014-10-01
ENGELKEN, JAMES, A CHIEF COMPLIANCE OFFICER 09/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
SWAN WEALTH ADVISORS, INC. CHIEF COMPLIANCE OFFICER/CFO direct 2011-09-01
SWAN GLOBAL INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER direct 2011-09-01
SWAN GLOBAL INVESTMENTS, LLC CHIEF COMPLIANCE OFFICER/INVESTMENT MGR direct 2011-09-01
SWAN CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER/INVESTMENT MGR direct 2012-05-01
SWAN CAPITAL MANAGEMENT, INC. CHIEF COMPLIANCE OFFICER/CFO direct 2012-05-01
SWAN GLOBAL MANAGEMENT LLC CCO direct 2014-10-01
SWAN, ROBERT, BRADLEY COO 12/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
SWAN GLOBAL INVESTMENTS, LLC COO direct 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC COO direct 2014-12-01
SWAN GLOBAL HOLDINGS-US, LLC OWNER 12/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
SWAN GLOBAL INVESTMENTS, LLC OWNER direct 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER direct 2014-12-01
SWAN WEALTH ADVISORS HOLDINGS, INC OWNER SWAN GLOBAL HOLDINGS-US, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT HOLDINGS, INC OWNER SWAN GLOBAL HOLDINGS-US, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN, RANDALL, WILLIAM OWNER SWAN WEALTH ADVISORS HOLDINGS, INC 12/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SWAN CONSULTING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-06-01
SWAN WEALTH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO, MANAGING MEMBER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 2012-05-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN GLOBAL MANAGEMENT LLC CEO, MANAGING MEMBER direct 2014-10-01
SWAN GLOBAL CONSULTING LLC CEO direct 2014-10-01
SWAN, RANDALL, WILLIAM OWNER SWAN CAPITAL MANAGEMENT HOLDINGS, INC 12/01/2014 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
SWAN CONSULTING, INC. PRESIDENT/CHIEF COMPLIANCE OFFICER direct 1999-06-01
SWAN WEALTH ADVISORS, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC CEO, MANAGING MEMBER direct 1999-06-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN GLOBAL INVESTMENTS, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, INC. PRESIDENT/CHIEF EXECUTIVE OFFICER direct 2012-05-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN CAPITAL MANAGEMENT, LLC OWNER indirect 2014-12-01
SWAN GLOBAL MANAGEMENT LLC CEO, MANAGING MEMBER direct 2014-10-01
SWAN GLOBAL CONSULTING LLC CEO direct 2014-10-01

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