SWAN GLOBAL INVESTMENTS, LLC
CRD #114669 SEC #801-70881 DURANGO, CO 970-382-8901
SEC Registered
Total AUM
$2.4B
Discretionary
$2.4B
Employees
17
Clients
--
Accounts
1,969
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 18, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| BATES, ETHAN | I | CFO | NA | |
| BATES, ETHAN | I | CFO | NA | |
| BATES, ETHAN | I | CFO | NA | |
| BATES, ETHAN | I | CFO | NA | |
| BATES, ETHAN | I | CFO | NA | |
| BATES, ETHAN | I | CFO | NA | |
| BATES, ETHAN | I | CFO | NA | |
| BATES, ETHAN | I | CFO | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER/INVESTMENT MGR | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER/INVESTMENT MGR | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER/INVESTMENT MGR | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER/INVESTMENT MGR | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER/INVESTMENT MGR | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER/CFO | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER/INVESTMENT MGR | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER/INVESTMENT MGR | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER | NA | |
| ENGELKEN, JAMES, A | I | CHIEF COMPLIANCE OFFICER | NA | |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, RANDALL, WILLIAM | I | CEO | NA | Control |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN, ROBERT, BRADLEY | I | COO | NA | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN GLOBAL HOLDINGS-US, LLC | DE | OWNER | E | |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | CEO, MANAGING MEMBER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | E | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | E | Control |
| SWAN, LAURA, K | I | MEMBER | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | D | Control |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN CAPITAL MANAGEMENT HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C | |
| SWAN WEALTH ADVISORS HOLDINGS, INC | DE | SWAN GLOBAL HOLDINGS-US, LLC | C |
Registrations
Federal
IA
Mar 18, 2025 REGISTERED
Notice Filings (13)
CA CO FL IL MA MD MI NJ NY OH PR TX VA
Address
1099 MAIN AVESUITE 206
DURANGO, CO 81301
United States
Phone: 970-382-8901