Swan Global Investments, Llc
- Regulatory AUM
- $2.4B
- Discretionary
- $2.4B
- Clients
- 1,231
- Avg AUM / client
- $1.9M
- Accounts
- 1,231
- Employees
- 17
AUM over time
Annual snapshots from Form ADV filings · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 1,183 | $380M | 15.9% |
| High net worth individuals | 31 | $12.7M | 0.53% |
| Investment companies | 17 | $2.0B | 83.6% |
People (20)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Randall William Swan | Ceo | Jun 1999 (27y) | ≈ 9.38% – 37.5% via Swan Wealth Advisors Holdings, Inc | |
| Ethan Bates | Cfo | Oct 2013 (13y) | Less than 5% | |
| Robert Bradley Swan | Coo | Dec 2014 (12y) | Less than 5% | |
| Ackerman, Bradley, Owen | Chief Compliance Officer | Jul 2018 (8y) | Less than 5% | |
| Patrick Lester Stiefel | Registered representative | Mar 2014 (12y) | ||
| Marc Kootoku Odo | Registered representative | CFP CFA | Apr 2015 (11y) | |
| Chris Stephen Caswell | Registered representative | Oct 2015 (11y) | ||
| Daniel Alexander Neagoy | Registered representative | Jul 2017 (9y) | ||
| Eugene William Miller | Registered representative | Nov 2017 (9y) | ||
| Dolores Fernandez Wheless | Registered representative | Personal Financial Specialist | Feb 2018 (8y) | |
| Zachary David Noonan | Registered representative | Mar 2019 (7y) | ||
| Walter Scott Stepanek | Registered representative | Sep 2020 (6y) | ||
| Jeffrey David Thomas | Registered representative | Feb 2021 (5y) | ||
| Alex Martin Prouty | Registered representative | Oct 2021 (5y) | ||
| David Allen Whiteside | Registered representative | Jul 2022 (4y) | ||
| Stephen Montana O'connor Seville | Registered representative | Dec 2022 (4y) | ||
| Seth Christian Hiemstra | Registered representative | Jul 2023 (3y) | ||
| Christian John Swan | Registered representative | Aug 2023 (3y) | ||
| Christopher Brian Hausman | Registered representative | Jan 2025 (2y) | ||
| David Osborn Lovell | Registered representative | Jan 2025 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Swan Global Holdings Us, Llc | Owner | Dec 2014 | A | 75% or more |
| Swan Wealth Advisors Holdings, Inc | Owner | Dec 2014 | B | ≈ 18.75% – 50% via Swan Global Holdings Us, Llc |
| Swan Capital Management Holdings, Inc | Owner | Dec 2014 | B | ≈ 18.75% – 50% via Swan Global Holdings Us, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Randall William Swan: 50% – 75% of Swan Wealth Advisors Holdings, Inc × 25% – 50% of Swan Global Holdings Us, Llc × 75% – 100% direct ≈ 9.38% – 37.5% of the firm
- Swan Wealth Advisors Holdings, Inc: 25% – 50% of Swan Global Holdings Us, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
- Swan Capital Management Holdings, Inc: 25% – 50% of Swan Global Holdings Us, Llc × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/13/2026 | 1.1 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $475M (20% of AUM) Mar 2026
- Pershing $213M (9% of AUM) Mar 2026
- Fidelity Brokerage Services $41.0M (2% of AUM) Mar 2024
- Stonex Financial Inc. $8.2M (0% of AUM) Mar 2024
- Raymond James $400K (0% of AUM) Mar 2024
- Tradestation Securities, Inc. $160K (0% of AUM) Mar 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 13, 2026.
View current Form ADV (SEC/IAPD) ↗