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Investment Solutions 2018-03-20T10:32:23+00:00

Investment Solutions

An Outcome-Oriented Investment Solution

Investors do not care about where an invest­ment prod­uct ‘fits’, they care about their state­ment bal­ance when that mon­ey is need­ed. They care about achiev­ing their desired out­comes.

Investors need solu­tions to the chal­lenges they face today and beyond, not anoth­er prod­uct iter­a­tion.

In a world of products, we’re offering a solution.

The Swan Defined Risk Strat­e­gy was designed for what’s best for the investor, not what’s eas­i­est to “sell”.  Randy Swan, Founder and Port­fo­lio Man­ag­er cre­at­ed the strat­e­gy to solve invest­ment chal­lenges and address mar­ket risk direct­ly, not to ‘fit’ into a trend­ing cat­e­go­ry.

The Defined Risk Strat­e­gy is unique­ly designed to pro­vide what investors need to grow and pro­tect wealth:

  • Con­sis­tent expo­sure to the mar­ket for cap­i­tal appre­ci­a­tion
  • Uti­liz­ing a unique ‘always hedged’ approach to mit­i­gate large loss­es
  • Remove tim­ing and emo­tions from the process

An Investment Solution For Multiple Needs

At Swan Glob­al Invest­ments, we’ve applied the suc­cess of our Defined Risk Strat­e­gy across mul­ti­ple invest­ment solu­tions and asset class­es. The Swan DRS can play vary­ing roles inside any port­fo­lio, includ­ing:

  • A core equi­ty replace­ment or sup­ple­ment
  • A fixed income replace­ment
  • An absolute return or alter­na­tive asset

Swan DRS offers investors a com­bi­na­tion of upside oppor­tu­ni­ty with min­i­mized down­side risk. Con­tact us and we’ll be glad to tell you more about our strat­e­gy and the ways you can put it into play.


The Defined Risk Strategy applied to different asset classes.

The DRS is also avail­able in mutu­al funds, designed to give investors a risk man­aged approach to asset allo­ca­tion. The goal: to achieve pos­i­tive returns while min­i­miz­ing the down­side risk of the equi­ty mar­kets. The Fund’s invest­ment strat­e­gy is ground­ed in a pro­pri­etary process that has been devel­oped and refined since 1997. Key ele­ments of the Fund’s strat­e­gy include:

  • No reliance on mar­ket tim­ing or stock selec­tion
  • Aim­ing to pro­tect client assets dur­ing mar­ket down­turns
  • Diver­si­fy­ing with allo­ca­tions designed to com­ple­ment each oth­er across a range of mar­ket con­di­tions.

To learn more: 


Separately Managed Accounts

Creating wealth by reducing losses.

We cre­at­ed the Defined Risk Strat­e­gy and began apply­ing it to Sep­a­rate­ly Man­aged Accounts (SMA) in 1997 with the goal of pro­vid­ing an invest­ment solu­tion offer­ing the pos­si­bil­i­ty for income and down­side pro­tec­tion. It has con­sis­tent­ly out­per­formed the S&P 500 over full mar­ket cycles since incep­tion.

Our SMA includes:

  • Equal­ly weight­ed ETFs rep­re­sent­ing the sec­tors of the S&P 500
  • Put options to hedge long equi­ty posi­tions
  • Income-gen­er­at­ing options strate­gies

The Swan SMA is avail­able for advi­sors to use with their clients at TD Amer­i­trade. TDA has invest­ed in its tech­nol­o­gy to allow options man­agers such as Swan to offer SMA accounts to retail investors.

Swan’s unique SMA offer­ing reflects our long-term com­mit­ment to pro­vide sophis­ti­cat­ed options-based strate­gies to the invest­ing pub­lic through advi­so­ry rela­tion­ships. A min­i­mum com­mit­ment is required by each advi­sor to use the SMA struc­ture.


Stabilize returns and minimize taxes.

The Swan DRS Over­lay applies our hedge and option income com­po­nents over oth­er man­agers’ port­fo­lios, such as those with low cost basis or con­cen­trat­ed stock posi­tions. Over­lay­ing these types of port­fo­lios with pro­tec­tion and income fea­tures can help clients smooth out returns and pro­tect against extreme draw­downs, with­out incur­ring the tax­es that would be trig­gered by liq­ui­dat­ing secu­ri­ties. The Over­lay pro­gram is ide­al for exec­u­tive stock pro­grams that are restrict­ed from liq­ui­da­tion or from full invest­ment in Swan’s SMA pro­gram. The over­lay has a few dif­fer­ences from our tra­di­tion­al DRS process, includ­ing:

  • Investors may use their own under­ly­ing equi­ty port­fo­lios
  • Cus­tomized hedg­ing and income strate­gies are avail­able

Collective Investment Trust – CIT

Grow and protect wealth in retirement plans.

The Swan Defined Risk Col­lec­tive Invest­ment Trust series is co-man­aged in asso­ci­a­tion with Gor­don Asset Man­age­ment, LLC. Gor­don is an inde­pen­dent reg­is­tered invest­ment advi­sor based in Raleigh-Durham, NC, which has a spe­cial­iza­tion in fidu­cia­ry ser­vices for cor­po­rate retire­ment plans. Alta Trust is a South Dako­ta char­tered Trust com­pa­ny that acts as the Trustee of this Col­lec­tive Invest­ment Fund. There are five Swan Defined Risk CIT funds.

  • Defined Risk Income
  • Defined Risk Con­ser­v­a­tive
  • Defined Risk Mod­er­ate
  • Defined Risk Mod­er­ate Growth
  • Defined Risk Aggres­sive Growth

The CITs are cur­rent­ly avail­able on numer­ous retire­ment plat­forms as well as made avail­able through indi­vid­ual com­pa­ny employ­ee benefit/retirement plans.
For gen­er­al inquiries, please con­tact Alta Trust at: 866–516-4015;or vis­it their web page at
For CIT invest­ment and par­tic­i­pa­tion relat­ed ques­tions, please con­tact Gor­don Asset Man­age­ment at:(866) 216‑1920, or vis­it their web page at

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