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RED SWAN PRIVATE CLIENT
Legal name: REDSWAN PC, INC
CRD 307278File 801-118188
APPROVED
Filing as of Mar 4, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$165.3M
Bottom 25% of cohort (national)
Discretionary AUM
$0
Non-discretionary $165.3M
Clients
7
7 accounts
Employees
8
Bottom 25% of cohort in TX
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Mar 9, 2020
- Principal office
- 4201 MAIN ST, SUITE 203, HOUSTON, TX, 77002
- Phone
- 713-360-7928
- Website
- https://www.redswan.io
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $165.3M
- Discretionary AUM
- $0
- Non-discretionary AUM
- $165.3M
- Discretionary accounts
- 0
- Non-discretionary accounts
- 7
- Total accounts
- 7
- AUM per client
- $23.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 7 | $165.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — ONE TIME CONSULTING FEE
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- 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 |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 2 | 7 | increased by5 |
| Mar 1, 2026 | AUM | $2,443,073,000 | $165,260,000 | decreased by$2,277,813,000 |
| Mar 1, 2026 | Accounts | 2 | 7 | increased by5 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 2 | 8 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Custody | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Clients | 8 | 2 | decreased by6 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $303,680,009 | $2,443,073,000 | increased by$2,139,392,991 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 8 | 2 | decreased by6 |
| May 1, 2022 | Employees | 3 | 2 | decreased by1 |
| Apr 1, 2022 | Employees | 2 | 3 | increased by1 |
| Apr 1, 2022 | Clients | 9 | 8 | decreased by1 |
| Apr 1, 2022 | AUM | $188,187,999 | $303,680,009 | increased by$115,492,010 |
| Apr 1, 2022 | Accounts | 9 | 8 | decreased by1 |
| Jan 1, 2022 | Employees | 4 | 2 | decreased by2 |
| 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 “RED SWAN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“RED SWAN” 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.