Swan Investment Strategies, Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 332099
· Sarasota, FL
· SWANSTRATEGIES.COM
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ADV data as of Feb 16, 2026
- Regulatory AUM
- $48.0M
- Discretionary
- $47.5M
- Clients
- 163
- Avg AUM / client
- $295K
- Accounts
- 323
- Employees
- 2
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 128 | $26.7M | 55.7% |
| High net worth individuals | 27 | $18.4M | 38.4% |
| Pooled investment vehicles (non-investment companies) | 1 | $542K | 1.13% |
| Corporations and other businesses | 7 | $2.3M | 4.85% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Murrell Liner Winter | Registered representative | Jul 2024 (2y) |
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) | 02/16/2026 | 1.01 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $48.0M (100% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Feb 16, 2026.
View current Form ADV (SEC/IAPD) ↗