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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

SWAN CAPITAL MANAGEMENT, LLC

CRD 164280

DURANGO, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:84f1e7f3-a476-9723-4224-da4ad564d503

Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 4
On other graphs: 0
Observed: May 14, 2012 to Mar 3, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $1.3BItem 5.F on the latest filing (2026-03-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 8
SEC number: 801-76701
CIK: 1591478
CRD: 164280
Filings on the tape: 19
First filed: May 14, 2012
Latest filed: Mar 3, 2026
Organised: Limited Liability Company, CO
Website: swanglobalinvestments.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SWAN, RANDALL, WILLIAM	Owner	C	yes	12/2014	May 14, 2012	Mar 19, 2024
SWAN, RANDALL, WILLIAM	PRESIDENT/CHIEF EXECUTIVE OFFICER	Na	yes	05/2012	May 14, 2012	Mar 19, 2024
ACKERMAN, BRADLEY, OWEN	Cco	Na	no	02/2018	Feb 16, 2018	Mar 19, 2024
BATES, ETHAN	Cfo	Na	no	10/2013	Mar 12, 2020	Mar 19, 2024
SWAN CAPITAL MANAGEMENT HOLDINGS, INC	Owner	C	no	12/2014	Mar 23, 2015	Mar 19, 2024
SWAN GLOBAL HOLDINGS-US, LLC	Owner	E	no	12/2014	Mar 23, 2015	Mar 19, 2024
SWAN WEALTH ADVISORS HOLDINGS, INC	Owner	C	no	12/2014	Mar 23, 2015	Mar 19, 2024
SWAN, ROBERT, BRADLEY	Coo	Na	no	12/2014	Mar 23, 2015	Mar 19, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SWAN GLOBAL INVESTMENTS, LLC	n/a	Other adviser	$2.4B	Y	yes	n/a
SWAN GLOBAL MANAGEMENT LLC	n/a	Other adviser	$2.4B	Y	yes	n/a
SWAN WEALTH ADVISORS, LLC	n/a	Other adviser	$98.0M	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 3, 2026	$1.3B	$1.3B	5	1	0	n/a	n/a
2024	Mar 18, 2025	$1.7B	$1.7B	5	1	0	n/a	n/a
2023	Mar 19, 2024	$1.4B	$1.4B	8	1	0	n/a	n/a
2022	Mar 23, 2023	$1.2B	$1.2B	7	1	0	n/a	n/a
2021	Mar 11, 2022	$1.5B	$1.5B	9	2	0	n/a	n/a
2020	Mar 12, 2021	$1.4B	$1.4B	8	2	0	n/a	n/a
2019	Mar 12, 2020	$1.9B	$1.9B	11	2	0	n/a	n/a
2018	Feb 22, 2019	$2.6B	$2.6B	16	2	0	n/a	n/a
2017	Feb 16, 2018	$3.3B	$3.3B	22	8	0	n/a	n/a
2016	Mar 24, 2017	$2.2B	$2.2B	22	8	n/a	n/a	n/a
2015	Mar 17, 2016	$1.4B	$1.4B	17	14	n/a	n/a	n/a
2014	Mar 23, 2015	$1.1B	$1.1B	8	8	n/a	n/a	n/a
2013	Mar 21, 2014	$380M	$380M	2	1	n/a	n/a	n/a
2012	Mar 8, 2013	$160M	$160M	1	1	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.3B	$1.7B	-24.1%	$1.2B	2.9%	5	5	0	0

Relationships

Affiliated with (6)

← SWAN WEALTH ADVISORS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← SWAN GLOBAL MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← SWAN GLOBAL INVESTMENTS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ SWAN GLOBAL INVESTMENTS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ SWAN GLOBAL MANAGEMENTRegistered adviserother investment adviser, control, common control
factForm ADV
→ SWAN WEALTH ADVISORS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Owns (6)

← ACKERMAN, BRADLEY, OWENOwnerCCO, ownership code NA, individual
Feb 16, 2018 to Mar 19, 2024factForm ADV
← SWAN, ROBERT, BRADLEYOwnerCOO, ownership code NA, individual
Mar 23, 2015 to Mar 19, 2024factForm ADV
← BATES, ETHANOwnerCFO, ownership code NA, individual
Mar 12, 2020 to Mar 19, 2024factForm ADV
← SWAN CAPITAL MANAGEMENT HOLDINGS, INCOwnerOWNER, ownership code C, domestic entity
Mar 23, 2015 to Mar 19, 2024factForm ADV
← SWAN GLOBAL HOLDINGS-US, LLCOwnerOWNER, ownership code E, domestic entity
Mar 23, 2015 to Mar 19, 2024factForm ADV
← SWAN WEALTH ADVISORS HOLDINGS, INCOwnerOWNER, ownership code C, domestic entity
Mar 23, 2015 to Mar 19, 2024factForm ADV

Controls (1)

← SWAN, RANDALL, WILLIAMOwnerOWNER, ownership code C, individual
May 14, 2012 to Mar 19, 2024factForm ADV

Dated events

Occurred
Mar 12, 2021
Regulatory AUM changed
Swan Capital Management, Llc reported RAUM $1.4B, down 28% from $1.9B (2020-03-12 to 2021-03-12)
Form ADVobserved 6 days ago
$-536M
Occurred
Mar 12, 2020
Regulatory AUM changed
Swan Capital Management, Llc reported RAUM $1.9B, down 26% from $2.6B (2019-02-22 to 2020-03-12)
Form ADVobserved 6 days ago
$-671M
Occurred
Feb 16, 2018
Regulatory AUM changed
Swan Capital Management, Llc reported RAUM $3.3B, up 49% from $2.2B (2017-03-24 to 2018-02-16)
Form ADVobserved 6 days ago
$1.1B
Occurred
Dec 5, 2014
Succession filed (Item 4)
Swan Capital Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84f1e7f3-a476-9723-4224-da4ad564d503
First observed: May 14, 2012
Last observed: Mar 3, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SWAN CAPITAL MANAGEMENT, LLC

CRD 164280

DURANGO, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:84f1e7f3-a476-9723-4224-da4ad564d503

Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:36 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SWAN, RANDALL, WILLIAM

Owner

yes

12/2014

May 14, 2012

Mar 19, 2024

SWAN, RANDALL, WILLIAM

PRESIDENT/CHIEF EXECUTIVE OFFICER

yes

05/2012

May 14, 2012

Mar 19, 2024

ACKERMAN, BRADLEY, OWEN

Cco

02/2018

Feb 16, 2018

Mar 19, 2024

BATES, ETHAN

Cfo

10/2013

Mar 12, 2020

Mar 19, 2024

SWAN CAPITAL MANAGEMENT HOLDINGS, INC

Owner

12/2014

Mar 23, 2015

Mar 19, 2024

SWAN GLOBAL HOLDINGS-US, LLC

Owner

12/2014

Mar 23, 2015

Mar 19, 2024

SWAN WEALTH ADVISORS HOLDINGS, INC

Owner

12/2014

Mar 23, 2015

Mar 19, 2024

SWAN, ROBERT, BRADLEY

Coo

12/2014

Mar 23, 2015

Mar 19, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SWAN GLOBAL INVESTMENTS, LLC

n/a

Other adviser

$2.4B

yes

n/a

SWAN GLOBAL MANAGEMENT LLC

n/a

Other adviser

$2.4B

yes

n/a

SWAN WEALTH ADVISORS, LLC

n/a

Other adviser

$98.0M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 3, 2026

$1.3B

n/a

2024

Mar 18, 2025

$1.7B

n/a

2023

Mar 19, 2024

$1.4B

n/a

2022

Mar 23, 2023

$1.2B

n/a

2021

Mar 11, 2022

$1.5B

n/a

2020

Mar 12, 2021

$1.4B

n/a

2019

Mar 12, 2020

$1.9B

n/a

2018

Feb 22, 2019

$2.6B

n/a

2017

Feb 16, 2018

$3.3B

n/a

2016

Mar 24, 2017

$2.2B

n/a

2015

Mar 17, 2016

$1.4B

n/a

2014

Mar 23, 2015

$1.1B

n/a

2013

Mar 21, 2014

$380M

n/a

2012

Mar 8, 2013

$160M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.3B

$1.7B

-24.1%

$1.2B

2.9%