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Firm Information
Compensation
Fee-Only (AUM)
Number of Advisors
19 advisors
Number of Clients
1,969 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$2.4B
Fee Structure
Minimum Investment:$250K
Financial Planning:Investment management only
Swan charges a negotiable asset-based fee ranging from 0.50% to 1.25% per year, based on the amount invested. Fees may vary based on the size of the investment account. Sub-advised clients have fees negotiated between their advisor and Swan, generally within a similar range. The firm's minimum account size is $250,000, but this may be waived at the firm's discretion.
Areas of Practice
Investment Management
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Advisor Information
Office location
Portland, MI
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Swan Global Investments, LLC
July 2023 - Present · 2 yrs 6 mos
Northern Lights Distributors, LLC
June 2023 - Present · 2 yrs 7 mos
Northern Lights Distributors, LLCBroker
June 2023 - Present · 2 yrs 7 mos
Previous Registrations
Centennial Securities Company INC
April 2021 - September 2022 · 1 yr 5 mos
Centennial Securities Company, INC. Broker
February 2021 - September 2022 · 1 yr 7 mos
State Registrations3 states
COMINE
AdvisorBrokerBoth
Exams
No exam information available for this advisor.