Swan Capital Management, Llc
- Regulatory AUM
- $1.3B
- Discretionary
- $1.3B
- Clients
- 8
- Avg AUM / client
- $163M
- Accounts
- 8
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 8 | $1.3B | 100.0% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Randall William Swan | President/Chief Executive Officer | May 2012 (14y) | ≈ 4.69% – 25% 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 | Cco | Feb 2018 (9y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Swan Global Holdings Us, Llc | Owner | Dec 2014 | A | 75% or more |
| Swan Capital Management Holdings, Inc | Owner | Dec 2014 | B | ≈ 18.75% – 50% via Swan Global Holdings Us, Llc |
| Swan Wealth Advisors 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: 25% – 50% of Swan Wealth Advisors Holdings, Inc × 25% – 50% of Swan Global Holdings Us, Llc × 75% – 100% direct ≈ 4.69% – 25% 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
- Swan Wealth Advisors 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) | 03/03/2026 | 1.09 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 investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 03, 2026.
View current Form ADV (SEC/IAPD) ↗