Swan Wealth Advisors, Llc
- Regulatory AUM
- $98.0M
- Discretionary
- $98.0M
- Clients
- 47
- Avg AUM / client
- $2.1M
- Accounts
- 47
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Other | 47 | $98.0M | 100.0% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ethan Bates | Cfo | Oct 2013 (13y) | Less than 5% | |
| Eugene William Miller | President | Sep 2017 (9y) | Less than 5% | |
| Randall William Swan | Ceo | Sep 2017 (9y) | ≈ 37.5% – 75% via Swan Global Holdings Us, Llc | |
| Ackerman, Bradley, Owen | Chief Compliance Officer | Jul 2018 (8y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Swan Global Holdings Us, Llc | Member | Sep 2017 | A | 75% or more |
| Swan Wealth Advisors Holdings, Inc | Owner | Sep 2017 | B | ≈ 18.75% – 50% via Swan Global Holdings Us, Llc |
| Swan Capital Management Holdings, Inc | Owner | Sep 2017 | 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 Global Holdings Us, Llc × 75% – 100% direct ≈ 37.5% – 75% 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) | 03/25/2026 | 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
- • Fixed fees
Services
- • Other services
Custody
Reported custodians
- Pershing $58.5M (60% of AUM) Mar 2026
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 25, 2026.
View current Form ADV (SEC/IAPD) ↗