SWAN CAPITAL MANAGEMENT, LLC
CRD #164280 SEC #801-76701 DURANGO, CO 970-382-8901
SEC Registered
Total AUM
$1.7B
Discretionary
$1.7B
Employees
5
Clients
--
Accounts
17
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Colorado
- 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 | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | NA | |
| ACKERMAN, BRADLEY, OWEN | I | CCO | 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/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/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 | COMPLIANCE OFFICER/INVESTMENT MGR | NA | |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| SWAN, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | 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 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 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, RANDALL, WILLIAM | I | PRESIDENT/CHIEF EXECUTIVE OFFICER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | 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 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, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN CAPITAL MANAGEMENT HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
| SWAN, RANDALL, WILLIAM | I | SWAN WEALTH ADVISORS HOLDINGS, INC | C | Control |
Registrations
Federal
IA
Mar 18, 2025 REGISTERED
Notice Filings (6)
CA CO FL PR TX VA
Address
1099 MAIN AVE.SUITE 206
DURANGO, CO 81301
United States
Phone: 970-382-8901