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Disclosures 2017-08-22T09:53:15+00:00

Disclosures

Down­load Dis­clo­sures and ADV Part2A
Down­load Pri­va­cy Pol­i­cy

Disclosure Notes

All invest­ments involve the risk of poten­tial invest­ment loss­es as well as the poten­tial for invest­ment gains. Pri­or per­for­mance is no guar­an­tee of future results and there can be no assur­ance, and clients should not assume, that future per­for­mance will be com­pa­ra­ble to past per­for­mance. Please note that reg­is­tra­tion of the Advi­sor does not imply a cer­tain lev­el of skill or train­ing. Swan Glob­al Invest­ments, LLC is an asset man­ag­er uti­liz­ing their pro­pri­etary DRS-Defined Risk Strat­e­gy and is a SEC reg­is­tered Invest­ment Advi­sor. Swan Glob­al Invest­ments, LLC claims com­pli­ance with the Glob­al Invest­ment Per­for­mance Stan­dards (GIPS®). The ver­i­fi­ca­tion and per­for­mance reports are avail­able upon request. His­tor­i­cal per­for­mance num­bers are based on a com­pos­ite includ­ing all dis­cre­tionary accounts which were invest­ed in Swan Glob­al Invest­ments, LLC’s Defined Risk Strat­e­gy (DRS) since incep­tion, July 1997. This com­pos­ite is a com­bi­na­tion of accounts uti­liz­ing mar­gin and accounts not uti­liz­ing mar­gin. Awards and indus­try recog­ni­tion are based on the per­for­mance of Swan Glob­al Invest­ments, LLC’s DRS select com­pos­ite which includes all dis­cre­tionary accounts which uti­lize mar­gin.

All con­tent on this web­site is pro­vid­ed for infor­ma­tion­al pur­pos­es only. We do not give any advice or make any rep­re­sen­ta­tions through the site as to whether any invest­ment is suit­able to you or will be prof­itable. Noth­ing on this site is intend­ed to be, and you should not con­sid­er any­thing on this site to be, invest­ment, account­ing, tax or legal advice. If you would like invest­ment, account­ing, tax or legal advice, you should con­sult your own finan­cial advi­sors, accoun­tants or attor­neys regard­ing your indi­vid­ual cir­cum­stances and needs.

*Over­all Morn­ingstar Rat­ing TM Mar­ket Neu­tral Cat­e­go­ry as of 9/30/2014. Source: Morn­ingstar, Inc.

Swan Glob­al Invest­ments, LLC is in com­pli­ance with the cur­rent fil­ing require­ments as required by those states in which Swan Glob­al Invest­ments, LLC main­tains advi­so­ry clients. Swan Glob­al Invest­ments, LLC may only trans­act busi­ness in those states in which it is reg­is­tered or qual­i­fies for an exemp­tion or exclu­sion from reg­is­tra­tion require­ments. Swan Glob­al Invest­ments, LLC and Swan Glob­al Man­age­ment are affil­i­at­ed with SEC Reg­is­tered Swan Cap­i­tal Man­age­ment, LLC, which is the invest­ment advis­er for the Swan Defined Risk Mutu­al Fund (http://www.swandefinedriskfunds.com).

This web­site is lim­it­ed to the dis­sem­i­na­tion of gen­er­al infor­ma­tion per­tain­ing to its ser­vices. Accord­ing­ly, the pub­li­ca­tion of this web­site should not be con­strued by any con­sumer and/or prospec­tive client as Swan Glob­al Invest­ments, Inc. solic­i­ta­tion to effect, or attempt to effect, trans­ac­tions in secu­ri­ties or the ren­der­ing of per­son­al­ized invest­ment or tax advice for com­pen­sa­tion, over the Inter­net. For infor­ma­tion per­tain­ing to the reg­is­tra­tion sta­tus of Swan Glob­al Invest­ments, LLC, please con­tact the Secu­ri­ties and Exchange Com­mis­sion.

Statement Disclosures

Swan Glob­al Invest­ments, LLC is not affil­i­at­ed with any of the fol­low­ing rat­ings com­pa­nies and has no influ­ence on the rat­ings.

Morn­ingstar – *Over­all Morn­ingstar Rat­ingTM Mar­ket Neu­tral Cat­e­go­ry as of 9/30/2014. Source: Morn­ingstar, Inc., http://www.morningstar.com 
Pen­sion and Invest­ments Rat­ings – offered by Pen­sions & Invest­ments is owned by Crain Com­mu­ni­ca­tions Inc. http://www.pionline.com/ 

GIPS – *Glob­al Invest­ment Per­for­mance Stan­dards (GIPS®). Swan Glob­al Invest­ments, Inc. claims com­pli­ance with the Glob­al Invest­ment Per­for­mance Stan­dards (GIPS®). To receive a com­plete list and descrip­tion of the firm’s com­pos­ites and/or a pre­sen­ta­tion that adheres to the GIPS® stan­dards, please con­tact Swan Glob­al Invest­ments, LLC

Privacy Policy

Like most indus­tries today, the finan­cial ser­vices indus­try is rapid­ly being shaped by tech­nol­o­gy, which is lit­er­al­ly chang­ing the way we do busi­ness. To be suc­cess­ful in this envi­ron­ment, we must con­tin­ue to insure that our cus­tomers are con­fi­dent that we will man­age their finan­cial affairs expert­ly and con­fi­den­tial­ly.

At Swan Glob­al Invest­ments, LLC, we are required to acquire and retain cer­tain per­son­al and pri­vate client infor­ma­tion to pro­vide the ser­vices we offer. It is essen­tial that we use dis­cre­tion and tech­nol­o­gy to man­age and main­tain cer­tain cus­tomer infor­ma­tion. We want to assure all of our cus­tomers that when­ev­er infor­ma­tion is used, it is done with dis­cre­tion. The safe­guard­ing of cus­tomer infor­ma­tion is an issue we take seri­ous­ly at Swan Glob­al Invest­ments, LLC. To affirm our con­tin­u­ing com­mit­ment to the prop­er use of cus­tomer infor­ma­tion, we have set forth the fol­low­ing Pri­va­cy Prin­ci­ples. It is these Pri­va­cy Prin­ci­ples that guide us in serv­ing the pri­va­cy needs of our cus­tomers.

Recog­ni­tion of a Customer’s Expec­ta­tion of Pri­va­cy: Swan Glob­al Invest­ments, LLC, we believe the con­fi­den­tial­i­ty and pro­tec­tion of cus­tomer infor­ma­tion is one of our fun­da­men­tal respon­si­bil­i­ties. And while infor­ma­tion is crit­i­cal to pro­vid­ing qual­i­ty ser­vice, we rec­og­nize that one of our most impor­tant assets is our cus­tomers’ trust. Thus, the safe­keep­ing of cus­tomer infor­ma­tion is a pri­or­i­ty for Swan Glob­al Invest­ments, LLC.
Use, Col­lec­tion, and Reten­tion of Cus­tomer Infor­ma­tion: Swan Glob­al Invest­ments, LLC lim­its the use, col­lec­tion, and reten­tion of cus­tomer infor­ma­tion to what we believe is nec­es­sary or use­ful to con­duct our busi­ness, pro­vide qual­i­ty ser­vice, and offer prod­ucts, ser­vices, and oth­er oppor­tu­ni­ties that may be of inter­est to our cus­tomers. Infor­ma­tion col­lect­ed may include, but is not lim­it­ed to name, address, tele­phone num­ber, tax iden­ti­fi­ca­tion num­ber, date of birth, employ­ment sta­tus, annu­al income, and net worth.

Main­te­nance of Accu­rate Infor­ma­tion: Swan Glob­al Invest­ments, LLC rec­og­nizes that it must main­tain accu­rate cus­tomer records. There­fore, Swan Glob­al Invest­ments, LLC has estab­lished pro­ce­dures to main­tain the accu­ra­cy of cus­tomer infor­ma­tion and to keep such infor­ma­tion cur­rent and com­plete. These pro­ce­dures include respond­ing to requests to cor­rect inac­cu­rate infor­ma­tion in a time­ly man­ner.

Lim­it­ing Employ­ee Access to Infor­ma­tion: At Swan Glob­al Invest­ments, LLC, employ­ee access to per­son­al­ly iden­ti­fi­able cus­tomer infor­ma­tion is lim­it­ed to those with a busi­ness rea­son to know such infor­ma­tion. Employ­ees are edu­cat­ed on the impor­tance of main­tain­ing the con­fi­den­tial­i­ty of cus­tomer infor­ma­tion and on these Pri­va­cy Prin­ci­ples. Because of the impor­tance of these issues, all Swan Glob­al Invest­ments, LLC employ­ees are respon­si­ble for main­tain­ing the con­fi­den­tial­i­ty of cus­tomer infor­ma­tion and employ­ees who vio­late these Pri­va­cy Prin­ci­ples will be sub­ject to dis­ci­pli­nary mea­sures.
Pro­tec­tion of Infor­ma­tion via Estab­lished Secu­ri­ty Pro­ce­dures: Swan Glob­al Invest­ments, LLC rec­og­nizes that a fun­da­men­tal ele­ment of main­tain­ing effec­tive cus­tomer pri­va­cy pro­ce­dures is to pro­vide rea­son­able pro­tec­tion against the unau­tho­rized access to cus­tomer infor­ma­tion. There­fore, Swan Glob­al Invest­ments, LLC has estab­lished appro­pri­ate secu­ri­ty stan­dards and pro­ce­dures to guard against any unau­tho­rized access to cus­tomer infor­ma­tion.
Restric­tions on the Dis­clo­sure of Cus­tomer Infor­ma­tion: When it comes to shar­ing cus­tomer infor­ma­tion with unaf­fil­i­at­ed com­pa­nies, Swan Glob­al Invest­ments, LLC, places strict lim­its on who receives spe­cif­ic infor­ma­tion about cus­tomer accounts and oth­er per­son­al­ly iden­ti­fi­able data. Swan Glob­al Invest­ments, LLC may share infor­ma­tion with such com­pa­nies if they pro­vide a prod­uct or ser­vice that may ben­e­fit our cus­tomers. When­ev­er we do this, we care­ful­ly review the com­pa­ny and the prod­uct or ser­vice to make sure that it pro­vides val­ue to our cus­tomers. We share the min­i­mum amount of infor­ma­tion nec­es­sary for that com­pa­ny to offer its prod­uct or ser­vice. We may also share infor­ma­tion with unaf­fil­i­at­ed com­pa­nies that assist us in pro­vid­ing our prod­ucts and ser­vices to our cus­tomers; in the nor­mal course of our busi­ness (for exam­ple, with con­sumer report­ing agen­cies and gov­ern­ment agen­cies); when legal­ly required or per­mit­ted in con­nec­tion with fraud inves­ti­ga­tions and lit­i­ga­tion; in con­nec­tion with acqui­si­tions and sales; and at the request or with the per­mis­sion of a cus­tomer.

Main­tain­ing Cus­tomer Pri­va­cy in Busi­ness Rela­tion­ships with Third Par­ties: If we pro­vide per­son­al­ly iden­ti­fi­able cus­tomer infor­ma­tion to a third par­ty with which we have a busi­ness rela­tion­ship, we will insist that the third par­ty keep such infor­ma­tion con­fi­den­tial, con­sis­tent with the con­duct of our busi­ness rela­tion­ship.

Dis­clo­sure of Pri­va­cy Prin­ci­ples to Cus­tomers: Swan Glob­al Invest­ments, LLC rec­og­nizes and respects the pri­va­cy expec­ta­tions of our cus­tomers. We want our cus­tomers to under­stand our com­mit­ment to pri­va­cy in our use of cus­tomer infor­ma­tion. As a result of our com­mit­ment, we have devel­oped these Pri­va­cy Prin­ci­ples which are made read­i­ly avail­able to our cus­tomers. Cus­tomers who have ques­tions about these Pri­va­cy Prin­ci­ples or have a ques­tion about the pri­va­cy of their cus­tomer infor­ma­tion should call Swan Glob­al Invest­ments, LLC at 970–382-8901.

These Pri­va­cy Prin­ci­ples apply to indi­vid­u­als, and we reserve the right to change these Pri­va­cy Prin­ci­ples, and any of the poli­cies or pro­ce­dures described above, at any time with­out pri­or notice. These Pri­va­cy Prin­ci­ples are for gen­er­al guid­ance and do not con­sti­tute a con­tract or cre­ate legal rights and do not mod­i­fy or amend any agree­ments we have with our cus­tomers.