DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Swan Capital Management, LLC
Latest filing Mar 3, 2026
First filing on the tape May 14, 2012 · 19 filings
SEC status approved since May 25, 2012
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.3B as of Mar 3, 2026
Mar 8, 2013$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 3, 2026
Mar 8, 20131 then
Employees (5.A)5 as of Mar 3, 2026
Mar 8, 20131 then
Private funds: no history
RAUM -24% over the last fiscal year+2.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
- RAUM per advisor
- $325MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $163MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William Randall Swan · President/Chief Executive Officercontrolsince 05/2012 · owns less than 5%
- William Randall Swan · Ownercontrolsince 12/2014 · owns 25% to 50% of Swan Wealth Advisors Holdings, Inc
- Owen Bradley Ackerman · Ccosince 02/2018 · owns less than 5%
- Ethan Bates · Cfosince 10/2013 · owns less than 5%
- Bradley Robert Swan · Coosince 12/2014 · owns less than 5%
Entity owners
- Swan Global Holdings-US, LLC · Ownerdirect · owns 75% or more
- Swan Capital Management Holdings, Inc · Ownerindirect · owns 25% to 50% of Swan Global Holdings-US, LLC
- Swan Wealth Advisors Holdings, Inc · Ownerindirect · owns 25% to 50% of Swan Global Holdings-US, LLC
Related persons
Schedule D 7.A
- Swan Global Investments, LLCinvestment adviseryRAUM $2.4B
- Swan Global Managementinvestment adviseryRAUM $2.4B
- Swan Wealth Advisors, LLCinvestment adviseryRAUM $98.0M
Advisers that list Swan Capital Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 8Mar 18, 2025 to Mar 3, 2026
- Discretionary RAUM · $1.7B to $1.3BMar 18, 2025 to Mar 3, 2026
- RAUM · $1.7B to $1.3BMar 18, 2025 to Mar 3, 2026
- Accounts · 20 to 17Mar 19, 2024 to Mar 18, 2025
- BD registered reps · 8 to 5Mar 19, 2024 to Mar 18, 2025
- Employees · 8 to 5Mar 19, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 18, 2025
- State-registered IARs · 8 to 4Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $1.4B to $1.7BMar 19, 2024 to Mar 18, 2025
- RAUM · $1.4B to $1.7BMar 19, 2024 to Mar 18, 2025
- Accounts · 6 to 20Mar 23, 2023 to Mar 19, 2024
- BD registered reps · 7 to 8Mar 23, 2023 to Mar 19, 2024
- Employees · 7 to 8Mar 23, 2023 to Mar 19, 2024
- State-registered IARs · 7 to 8Mar 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $1.2B to $1.4BMar 23, 2023 to Mar 19, 2024
- RAUM · $1.2B to $1.4BMar 23, 2023 to Mar 19, 2024
- Advisory employees · 2 to 1Oct 26, 2022 to Mar 23, 2023
- BD registered reps · 9 to 7Oct 26, 2022 to Mar 23, 2023
- Employees · 9 to 7Oct 26, 2022 to Mar 23, 2023
- State-registered IARs · 8 to 7Oct 26, 2022 to Mar 23, 2023
- Discretionary RAUM · $1.5B to $1.2BOct 26, 2022 to Mar 23, 2023
- RAUM · $1.5B to $1.2BOct 26, 2022 to Mar 23, 2023
- Related insurance company · true to falseOct 26, 2022 to Mar 23, 2023
- Accounts · 9 to 6Mar 12, 2021 to Mar 11, 2022
- BD registered reps · 8 to 9Mar 12, 2021 to Mar 11, 2022
- Employees · 8 to 9Mar 12, 2021 to Mar 11, 2022
- State-registered IARs · 6 to 8Mar 12, 2021 to Mar 11, 2022
- Discretionary RAUM · $1.4B to $1.5BMar 12, 2021 to Mar 11, 2022
- RAUM · $1.4B to $1.5BMar 12, 2021 to Mar 11, 2022
- Accounts · 20 to 9Mar 12, 2020 to Mar 12, 2021
- BD registered reps · 11 to 8Mar 12, 2020 to Mar 12, 2021
- Employees · 11 to 8Mar 12, 2020 to Mar 12, 2021
- State-registered IARs · 10 to 6Mar 12, 2020 to Mar 12, 2021
- Discretionary RAUM · $1.9B to $1.4BMar 12, 2020 to Mar 12, 2021
- RAUM · $1.9B to $1.4BMar 12, 2020 to Mar 12, 2021
- BD registered reps · 14 to 11Feb 22, 2019 to Mar 12, 2020
- Employees · 16 to 11Feb 22, 2019 to Mar 12, 2020
- State-registered IARs · 11 to 10Feb 22, 2019 to Mar 12, 2020
- Discretionary RAUM · $2.6B to $1.9BFeb 22, 2019 to Mar 12, 2020
- RAUM · $2.6B to $1.9BFeb 22, 2019 to Mar 12, 2020
Signals
4 dated events
- Swan Capital Management, Llc reported RAUM $1.4B, down 28% from $1.9B (2020-03-12 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- Swan Capital Management, Llc reported RAUM $1.9B, down 26% from $2.6B (2019-02-22 to 2020-03-12)Mar 12, 2020 · RAUM change · derived
- Swan Capital Management, Llc reported RAUM $3.3B, up 49% from $2.2B (2017-03-24 to 2018-02-16)Feb 16, 2018 · RAUM change · derived
- Swan Capital Management, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 5, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- SWANGLOBALINVESTMENTS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 970-382-8901reportedpublic record, Form ADV, Mar 3, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026