The SWAN GROUP is a privately held investment adviser that advises $3.34Bn in regulatory assets under management held in 0 SEC fund types across 2 investment strategies. SWAN GROUP is a Hybrid A hybrid fund manager is a manager whose total assets under management are spread across multiple investment vehicle types rather than concentrated in one. Fund Manager. Assets decreased by 45.78% over the last 5-years.
The Group has been registered with the SEC for 16.08 years and is comprised of 4 filing and 0 relying advisers. They operate out of 3 office locations with their Headquarters at 1099 MAIN AVE SUITE 206, DURANGO, CO. The Group has not been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 28 employees comprised of 11 investment and 17 non-investment staff. The total number of Employees decreased by 30% over the last 5-years.
Their $3.34Bn in assets advised are owned by 0 private funds, 17 public funds and BDCs and 0 other accounts. Assets of Investment Companies (IC) clients own $2.64Bn or 79.23% of Total Assets and Individuals own $597.73mn or 17.92% of Total Assets.
The Group's top investment strategies include Long/Short Equity and Multi Strat, representing 52.85% and 47.15% of total assets, respectively.
They advise 3 types of clients, top clients are Investment Companies (IC) and Individuals.
The Group uses 2 Fund Administrators, 2 Fund Auditors, 0 Prime Brokers, 2 Custodians and 1 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses advisory fees, fixed fees and management fees.
SWAN GROUP names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a HIGH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In SWAN GROUP's case, they have 11 business conditions that require high process maturity and 0 Watch Factors.