Swan Global Investments, LLC

Swan Global Investments, LLC, established in 1997, is an independent SEC Registered Investment Advisor based in Durango, CO. The firm specializes in offering and managing The Defined Risk Strategy for individuals, institutions, and other investment advisor firms. Swan provides discretionary investment management through the Defined Risk Strategy, designed to protect investors from market declines, provide income in various market conditions, and benefit from market appreciation. The firm manages assets totaling $2.4 billion as of March 1, 2025, across Separately Managed Accounts, Overlay Accounts, mutual funds, and ETFs. Clients can invest with a minimum account size of $250,000, which may be waived at the firm's discretion. Swan charges a negotiable asset-based fee ranging from 0.50% to 1.25% per annum, applied on a daily, monthly, or quarterly basis. The firm acts as a sub-advisor to other advisors for their clients, providing substantially similar management to wrap fee clients. Swan does not sponsor wrap fee programs but participates in programs where its strategy is incorporated. Swan's investment philosophy is centered on the Defined Risk Strategy, utilizing hedged equity index-based strategies with an option income component to manage risk and returns. The firm's investment team oversees the portfolio management process, with a focus on risk management and trade execution. Swan emphasizes the importance of risk mitigation through options and diversification, aiming to provide downside protection and positive returns in various market conditions.