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SWAN GLOBAL MANAGEMENT
Legal name: SWAN GLOBAL MANAGEMENT LLC
CRD 173621File 801-80552
APPROVED
Retail clients
Filing as of Mar 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.39B
Top 25% of cohort (national)
Discretionary AUM
$2.39B
Clients
1,231
1,231 accounts
Employees
3
Top 25% of cohort in PR
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- MIRO
- Registration date
- Nov 17, 2014
- Principal office
- 20 RIDGE TOP DR., PALMAS DEL MAR, HUMACAO, PR, 00791
- Phone
- 970-382-9055
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.39B
- Discretionary AUM
- $2.39B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,231
- Non-discretionary accounts
- 0
- Total accounts
- 1,231
- AUM per client
- $1.9M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 17 | $2.00B |
| High net worth individuals | 31 | $12.7M |
| Individuals (other than high net worth individuals) | 1,183 | $379.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 1,969 | 1,231 | decreased by738 |
| Apr 1, 2026 | AUM | $2,406,792,590 | $2,388,188,410 | decreased by$18,604,180 |
| Apr 1, 2026 | Accounts | 1,969 | 1,231 | decreased by738 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 5 | 3 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,975 | 1,969 | decreased by1,006 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,566,330,870 | $2,406,792,590 | decreased by$159,538,280 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 2,975 | 1,969 | decreased by1,006 |
| Apr 1, 2022 | Employees | 4 | 5 | increased by1 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Clients | 2,899 | 2,975 | increased by76 |
| Apr 1, 2022 | AUM | $2,236,863,688 | $2,566,330,870 | increased by$329,467,182 |
| Apr 1, 2022 | Accounts | 2,899 | 2,975 | increased by76 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SWAN GLOBAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SWAN GLOBAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.