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 Wealth Advisors, LLC

Other adviserDurango, ColoradoCRD 292755SEC 801-112612websiteIAPD
Latest filing Mar 25, 2026
First filing on the tape Feb 12, 2018 · 14 filings
SEC status approved since Mar 16, 2018
RAUM
$98.0M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$98.0M as of Mar 25, 2026
Feb 25, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Feb 25, 20193 then
Employees (5.A)2 as of Mar 25, 2026
Feb 25, 20193 then
Private funds: no history
RAUM +9.2% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
RAUM per advisor
$49.0MderivedRAUM 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
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+9.2%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 assets, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
47reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • William Randall Swan · Ceocontrol
        since 09/2017 · owns less than 5%
      • William Randall Swan · Ownercontrol
        since 09/2017 · owns 50% to 75% of Swan Capital Management Holdings, Inc
      • William Randall Swan · Ownercontrol
        since 09/2017 · owns 50% to 75% of Swan Global Holdings-US, LLC
      • Owen Bradley Ackerman · Chief Compliance Officer
        since 07/2018 · owns less than 5%
      • Ethan Bates · Cfo
        since 10/2013 · owns less than 5%
      • William Eugene Miller · President
        since 09/2017 · owns less than 5%
      Entity owners
      • Swan Global Holdings-US, LLC · Member
        direct · owns 75% or more
      • Swan Capital Management Holdings, Inc · Owner
        indirect · owns 25% to 50% of Swan Global Holdings-US, LLC
      • Swan Wealth Advisors Holdings, Inc · Owner
        indirect · owns 25% to 50% of Swan Global Holdings-US, LLC
      Related persons
      Schedule D 7.A
      Advisers that list Swan Wealth Advisors, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Dallas, TX2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 44 to 47
        Mar 26, 2025 to Mar 25, 2026
      • Employees · 3 to 2
        Mar 26, 2025 to Mar 25, 2026
      • Discretionary RAUM · $89.8M to $98.0M
        Mar 26, 2025 to Mar 25, 2026
      • RAUM · $89.8M to $98.0M
        Mar 26, 2025 to Mar 25, 2026
      • Accounts · 37 to 44
        Mar 28, 2024 to Mar 26, 2025
      • Financial planning clients · 0 to 0
        Mar 28, 2024 to Mar 26, 2025
      • Discretionary RAUM · $85.7M to $89.8M
        Mar 28, 2024 to Mar 26, 2025
      • RAUM · $85.7M to $89.8M
        Mar 28, 2024 to Mar 26, 2025
      • Accounts · 35 to 37
        Mar 30, 2023 to Mar 28, 2024
      • Discretionary RAUM · $69.5M to $85.7M
        Mar 30, 2023 to Mar 28, 2024
      • RAUM · $69.5M to $85.7M
        Mar 30, 2023 to Mar 28, 2024
      • Accounts · 31 to 35
        Oct 13, 2022 to Mar 30, 2023
      • Employees · 2 to 3
        Oct 13, 2022 to Mar 30, 2023
      • Discretionary RAUM · $87.0M to $69.5M
        Oct 13, 2022 to Mar 30, 2023
      • RAUM · $87.0M to $69.5M
        Oct 13, 2022 to Mar 30, 2023
      • Related insurance company · true to false
        Oct 13, 2022 to Mar 30, 2023
      • Accounts · 29 to 31
        Mar 30, 2021 to Mar 28, 2022
      • Discretionary RAUM · $103M to $87.0M
        Mar 30, 2021 to Mar 28, 2022
      • RAUM · $103M to $87.0M
        Mar 30, 2021 to Mar 28, 2022
      • Accounts · 1 to 29
        Jun 25, 2020 to Mar 30, 2021
      • Advisory employees · 3 to 2
        Jun 25, 2020 to Mar 30, 2021
      • Employees · 3 to 2
        Jun 25, 2020 to Mar 30, 2021
      • State-registered IARs · 3 to 2
        Jun 25, 2020 to Mar 30, 2021
      • Discretionary RAUM · $65.9M to $103M
        Jun 25, 2020 to Mar 30, 2021
      • RAUM · $65.9M to $103M
        Jun 25, 2020 to Mar 30, 2021
      • Accounts · 0 to 1
        Feb 25, 2019 to Mar 25, 2020
      • Advisory activities · 3 to 1
        Feb 25, 2019 to Mar 25, 2020
      • Individual clients · 0.0 to unset
        Feb 25, 2019 to Mar 25, 2020
      • Other offices · 2 to 1
        Feb 25, 2019 to Mar 25, 2020
      • Discretionary RAUM · $0 to $65.9M
        Feb 25, 2019 to Mar 25, 2020
      • Individual RAUM · 0.0 to unset
        Feb 25, 2019 to Mar 25, 2020
      • RAUM · $0 to $65.9M
        Feb 25, 2019 to Mar 25, 2020
      • Advisory employees · 2 to 3
        Jul 18, 2018 to Feb 25, 2019
      • Employees · 2 to 3
        Jul 18, 2018 to Feb 25, 2019
      • Insurance-licensed employees · 1 to 0
        Jul 18, 2018 to Feb 25, 2019
      • State-registered IARs · 1 to 3
        Jul 18, 2018 to Feb 25, 2019
      • Advisory employees · 1 to 2
        Feb 12, 2018 to Feb 23, 2018
      • Insurance-licensed employees · 0 to 1
        Feb 12, 2018 to Feb 23, 2018
      • State-registered IARs · 0 to 1
        Feb 12, 2018 to Feb 23, 2018
      Signals
      1 dated events
      • Swan Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
        Feb 12, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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 25, 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
      Other adviserderiveda 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