Swan Global Management Llc
- Regulatory AUM
- $2.4B
- Discretionary
- $2.4B
- Clients
- 1,231
- Avg AUM / client
- $1.9M
- Accounts
- 1,231
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Mar 18, 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 (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ethan Bates | Cfo | Mar 2014 (12y) | Less than 5% | |
| Randall William Swan | Ceo, Managing Member | Oct 2014 (12y) | 50% – 75% | |
| Swan, Laura, K | Member | Oct 2014 (12y) | 10% – 25% | |
| Ackerman, Bradley, Owen | Chief Compliance Officer | Jul 2018 (8y) | Less than 5% |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
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) | 03/18/2026 | 1.15 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 pooled investment vehicles
- • 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 18, 2026.
View current Form ADV (SEC/IAPD) ↗