Swan Global Investments, LLC

Registered adviser

CIK

1591505

Location

DURANGO, CO

Portfolio Value

Mid $2,190,477,394

Diversification

Moderately concentrated

Reports for

Swan Capital Management, LLC

Filing Date

Global Rank

#1,496 / 8,816 ▲ 2

Top Industry

Asset Management 25.9%

Period ended 4 months ago

Filed Aug 11, 2026 · 2mo

26 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 114669

Roster of Oct 1, 2026

Regulatory AUM

$2,388,188,410

Main clients

Registered funds and BDCs (84% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$2,388,188,410	Registered funds and BDCs (84%)
Apr 2025 to Mar 2026	$2,406,792,590	Registered funds and BDCs (71%)
Apr 2024 to Mar 2025	$2,105,953,989	Registered funds and BDCs (66%)
May 2023 to Mar 2024	$2,202,238,420	Registered funds and BDCs (68%)
Apr 2023	$2,202,238,420	Registered funds and BDCs (68%)
Apr 2022 to Mar 2023	$2,545,157,891	Registered funds and BDCs (65%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.

Style

Concentrated

The top 10 positions are 97.6% of the book (60%+)

Turnover

Low turnover

7.9% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 18.5 quarters (12+), a floor since 48.7% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 91.2%; sector active share 82.1% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

85 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026

Top Position

36.6%

+1.8 pts

Top 5

93.6%

−3.0 pts

Top 10

97.6%

−1.7 pts

HHI

2,500

Moderately concentrated−94

Portfolio Trend

26 quarters · across all stocks

Sector Breakdown

As of Jun 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	94.6%	$2,072,096,929	38
Technology	3.0%	$66,097,724	17
Financial Services	1.6%	$34,585,344	7
Communication Services	0.3%	$6,585,709	5
Consumer Cyclical	0.2%	$4,205,405	4
Energy	0.1%	$2,217,561	2
Healthcare	0.1%	$2,169,319	4
Industrials	0.1%	$1,460,658	4
Consumer Defensive	0.0%	$651,477	2
Utilities	0.0%	$206,958	1
Basic Materials	0.0%	$200,310	1

Last Quarter's Activity

Export CSV

Jun 30, 2026 vs Mar 31, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
PSMR	Pacer Swan SOS Moderate (April) ETF	+137,180	2,411,647	$77,630,916
PSMJ	Pacer Swan SOS Moderate (July) ETF	+108,723	2,347,266	$79,396,272
PSFM	Pacer Swan SOS Flex (April) ETF	+102,651	507,781	$17,701,245
PSFJ	Pacer Swan SOS Flex (July) ETF	+83,364	729,426	$25,653,912
SPY	Spdr S&P 500 ETF Trust	+77,529	1,072,921	$801,225,215
AAPL	Apple Inc.	+61,011	65,417	$18,929,063
PLTR	Palantir Technologies Inc.	+57,866	60,335	$7,039,284
MSFT	Microsoft Corp	+32,156	34,410	$12,835,618
NVDA	Nvidia Corp	+20,426	26,623	$5,326,996
AMZN	Amazon Com Inc	+6,245	9,458	$2,254,219
AMD	Advanced Micro Devices Inc	+3,704	5,517	$3,204,880
META	Meta Platforms, Inc.	+2,200	3,299	$1,858,293
XLF	State Street Corp	+1,358	572,383	$30,685,452
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	+1,302	560,690	$106,822,658
WFC	Wells Fargo & Company	+1,161	3,873	$320,064
GOOGL	Alphabet Inc.	+1,040	3,809	$1,361,222
WMT	Walmart Inc.	+1,007	3,730	$422,459
NFLX	Netflix Inc	+967	3,636	$259,610
SCLZ	Swan Enhanced Dividend Income ETF	+951	25,295	$1,417,582
SGOL	abrdn Gold ETF Trust	+900	15,700	$600,211
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	+646	149,961	$7,964,428
TSLA	Tesla, Inc.	+542	1,351	$568,230
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	+483	196,236	$21,022,762
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	+476	203,454	$23,861,085
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	+339	147,836	$23,455,659
No positions match the current search.

Trimmed

Positions the filer reduced

16 positions

Ticker	Company	Δ Shares	Shares	Value
IVV	iShares Core S&P 500 ETF	−64,693	541,901	$405,824,239
PSMO	Pacer Swan SOS Moderate (October) ETF	−50,937	2,633,439	$85,678,937
PSCW	Pacer Swan SOS Conservative (April) ETF	−36,505	1,744,472	$52,363,816
PSCQ	Pacer Swan SOS Conservative (October) ETF	−28,094	1,342,756	$41,907,414
PSCJ	Pacer Swan SOS Conservative (July) ETF	−23,469	1,121,765	$35,509,471
—		−22,752	1,569,429	$41,840,977
PSMD	Pacer Swan SOS Moderate (January) ETF	−22,667	2,342,410	$80,375,114
PSFO	Pacer Swan SOS Flex (October) ETF	−17,592	840,907	$29,124,813
PSCX	Pacer Swan SOS Conservative (January) ETF	−16,497	788,754	$25,752,818
PSFD	Pacer Swan SOS Flex (January) ETF	−4,218	824,213	$32,834,997
BOXX	Alpha Architect 1-3 Month Box ETF	−1,800	6,500	$761,085
TLT	iShares 20+ Year Treasury Bond ETF	−500	2,700	$233,334
VTWO	VANGUARD RUSSELL 2000 INDEX FUND	−100	2,427	$294,686
GE	General Electric Co	−23	1,469	$549,009
ABBV	AbbVie Inc.	−16	1,485	$373,685
AVGO	Broadcom Inc.	−4	2,626	$991,971
No positions match the current search.

New Positions

Positions the filer opened this quarter

22 positions

Ticker	Company	Shares	Value
LRCX	Lam Research Corp	13,617	$5,900,654
ADI	Analog Devices Inc	9,084	$3,607,892
GOOG	Alphabet Inc.	6,536	$2,309,364
CVX	Chevron Corp	10,926	$1,811,093
NOW	ServiceNow, Inc.	14,918	$1,481,059
SPGI	S&P Global Inc.	3,086	$1,256,804
SMCI	Super Micro Computer, Inc.	40,130	$1,177,012
EBAY	Ebay Inc	9,655	$1,078,946
QCOM	Qualcomm Inc	5,095	$941,505
TMUS	T-Mobile US, Inc.	4,753	$797,220
IBTG	iShares iBonds Dec 2026 Term Treasury ETF	27,118	$620,731
APH	Amphenol Corp	3,358	$592,082
TTAN	ServiceTitan, Inc.	7,856	$555,497
ORCL	Oracle Corp	3,748	$549,269
MCK	Mckesson Corp	587	$443,537
TSM	Taiwan Semiconductor Manufacturing Co Ltd	917	$437,931
IBTH	iShares iBonds Dec 2027 Term Treasury ETF	15,771	$352,797
XCCC	BondBloxx CCC Rated USD High Yield Corporate Bond ETF	7,900	$288,863
DE	Deere & Co	365	$231,530
XBB	BondBloxx BB Rated USD High Yield Corporate Bond ETF	5,500	$225,472
DUK	Duke Energy CORP	1,635	$206,958
LIN	Linde PLC	386	$200,310
No positions match the current search.

Sold Out

Positions the filer fully exited

No qualifying positions this quarter.

Portfolio Positions

Compact Export CSV View 13F filing

85 tracked positions · $2,190,477,394 total · filing declares 104 positions · $3,385,369,686 · as of Jun 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Technology Utilities

Showing 1–50 of 85 positions by value · page 1 of 2

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
SPY	Spdr S&P 500 ETF Trust	Added	1,072,921	+77,529	$801,225,215	+23.8%	26+	before history	36.58%
IVV	iShares Core S&P 500 ETF	Reduced	541,901	-64,693	$405,824,239	+2.4%	12	unpriced	18.53%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Added	560,690	+1,302	$106,822,658	+43.7%	26+	before history	4.88%
PSMO	Pacer Swan SOS Moderate (October) ETF	Reduced	2,633,439	-50,937	$85,678,937	+5.8%	12	$26.76	3.91%
PSMD	Pacer Swan SOS Moderate (January) ETF	Reduced	2,342,410	-22,667	$80,375,114	+6.6%	12	$26.80	3.67%
PSMJ	Pacer Swan SOS Moderate (July) ETF	Added	2,347,266	+108,723	$79,396,272	+11.4%	12	$26.30	3.62%
PSMR	Pacer Swan SOS Moderate (April) ETF	Added	2,411,647	+137,180	$77,630,916	+12.3%	12	$25.61	3.54%
PSCW	Pacer Swan SOS Conservative (April) ETF	Reduced	1,744,472	-36,505	$52,363,816	+3.5%	12	$24.21	2.39%
PSCQ	Pacer Swan SOS Conservative (October) ETF	Reduced	1,342,756	-28,094	$41,907,414	+5.8%	12	$26.15	1.91%
		Reduced	1,569,429	-22,752	$41,840,977	+6.4%	12	$19.61	1.91%
PSCJ	Pacer Swan SOS Conservative (July) ETF	Reduced	1,121,765	-23,469	$35,509,471	+4.6%	12	$24.85	1.62%
PSFD	Pacer Swan SOS Flex (January) ETF	Reduced	824,213	-4,218	$32,834,997	+8.6%	12	$30.20	1.50%
XLF	State Street Corp Financial Services	Added	572,383	+1,358	$30,685,452	+8.8%	26+	before history	1.40%
PSFO	Pacer Swan SOS Flex (October) ETF	Reduced	840,907	-17,592	$29,124,813	+7.1%	12	$29.00	1.33%
PSCX	Pacer Swan SOS Conservative (January) ETF	Reduced	788,754	-16,497	$25,752,818	+5.0%	12	$25.81	1.18%
PSFJ	Pacer Swan SOS Flex (July) ETF	Added	729,426	+83,364	$25,653,912	+21.6%	12	$26.83	1.17%
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	Added	203,454	+476	$23,861,085	+7.9%	26+	before history	1.09%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Added	147,836	+339	$23,455,659	+8.5%	26+	before history	1.07%
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	Added	124,570	+284	$23,074,101	+14.8%	26+	before history	1.05%
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	Added	196,236	+483	$21,022,762	−3.1%	26+	before history	0.96%
AAPL	Apple Inc. Technology	Added	65,417	+61,011	$18,929,063	+1592.8%	9	$281.78	0.86%
PSFM	Pacer Swan SOS Flex (April) ETF	Added	507,781	+102,651	$17,701,245	+34.7%	12	$26.61	0.81%
MSFT	Microsoft Corp Technology	Added	34,410	+32,156	$12,835,618	+1438.4%	9	$406.06	0.59%
		Added	144,652	+338	$12,016,241	+1.6%	26+	before history	0.55%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Added	149,961	+646	$7,964,428	−12.9%	26+	before history	0.36%
PLTR	Palantir Technologies Inc. Technology	Added	60,335	+57,866	$7,039,284	+1849.0%	4	$137.61	0.32%
LRCX	Lam Research Corp Technology	NEW	13,617	NEW	$5,900,654	NEW	1	$303.56	0.27%
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	Added	123,778	+284	$5,612,094	−1.0%	26+	before history	0.26%
NVDA	Nvidia Corp Technology	Added	26,623	+20,426	$5,326,996	+392.9%	4	$198.91	0.24%
		Added	91,056	+212	$4,628,376	+2.0%	26+	before history	0.21%
XLRE	State Street(R) Real Estate Select Sector SPDR(R) ETF	Added	104,653	+250	$4,607,871	+8.1%	26+	before history	0.21%
ADI	Analog Devices Inc Technology	NEW	9,084	NEW	$3,607,892	NEW	1	$395.80	0.16%
AMD	Advanced Micro Devices Inc Technology	Added	5,517	+3,704	$3,204,880	+769.0%	3	$348.74	0.15%
GOOG	Alphabet Inc. Communication Services	NEW	6,536	NEW	$2,309,364	NEW	1	$357.39	0.11%
AMZN	Amazon Com Inc Consumer Cyclical	Added	9,458	+6,245	$2,254,219	+236.9%	4	$242.38	0.10%
MU	Micron Technology Inc Technology	Added	1,632	+76	$1,883,801	+258.4%	2	$408.40	0.09%
META	Meta Platforms, Inc. Communication Services	Added	3,299	+2,200	$1,858,293	+195.5%	4	$650.75	0.08%
CVX	Chevron Corp Energy	NEW	10,926	NEW	$1,811,093	NEW	1	$186.13	0.08%
NOW	ServiceNow, Inc. Technology	NEW	14,918	NEW	$1,481,059	NEW	1	$99.01	0.07%
SCLZ	Swan Enhanced Dividend Income ETF	Added	25,295	+951	$1,417,582	+12.6%	10	unpriced	0.06%
GOOGL	Alphabet Inc. Communication Services	Added	3,809	+1,040	$1,361,222	+71.0%	7	$242.29	0.06%
SPGI	S&P Global Inc. Financial Services	NEW	3,086	NEW	$1,256,804	NEW	1	unpriced	0.06%
SMCI	Super Micro Computer, Inc. Technology	NEW	40,130	NEW	$1,177,012	NEW	1	$31.86	0.05%
EBAY	Ebay Inc Consumer Cyclical	NEW	9,655	NEW	$1,078,946	NEW	1	$106.70	0.05%
AVGO	Broadcom Inc. Technology	Reduced	2,626	-4	$991,971	+21.9%	7	$243.63	0.05%
QCOM	Qualcomm Inc Technology	NEW	5,095	NEW	$941,505	NEW	1	$187.00	0.04%
LLY	ELI LILLY & Co Healthcare	Added	693	+27	$831,205	+35.7%	7	$837.46	0.04%
TMUS	T-Mobile US, Inc. Communication Services	NEW	4,753	NEW	$797,220	NEW	1	$189.35	0.04%
GLD	Spdr Gold Trust	Held	2,145	0	$790,175	−14.4%	26+	before history	0.04%
BOXX	Alpha Architect 1-3 Month Box ETF	Reduced	6,500	-1,800	$761,085	−21.1%	6	unpriced	0.03%

Showing the top 50 of 85 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.