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Separate Accounts2018-09-12T12:30:32+00:00

Separately Managed Accounts (SMA)

Creating Wealth by Reducing Losses

We cre­at­ed the Defined Risk Strat­e­gy SMA in 1997 with the goal of pro­vid­ing an invest­ment solu­tion that offered investors both the oppor­tu­ni­ty for long-term cap­i­tal appre­ci­a­tion and down­side pro­tec­tion, in addi­tion to using options strate­gies to gen­er­ate cash flow.  Since incep­tion, Defined Risk Strat­e­gy Select Com­pos­ite SMA has con­sis­tent­ly out­per­formed the S&P 500 over full mar­ket cycles.

Our Sep­a­rate­ly Man­aged Accounts include:

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

Our Sep­a­rate­ly Man­aged Accounts offer­ings reflect our com­mit­ment to pro­vide risk man­age­ment solu­tions and options-based strate­gies to qual­i­fied investors through advi­so­ry rela­tion­ships. A min­i­mum com­mit­ment is required by each advi­sor to use the SMA struc­ture.

One Strategy — Multiple Asset Classes

The Swan Sep­a­rate­ly Man­aged Accounts offer qual­i­fied investors the oppor­tu­ni­ty to invest in the Defined Risk Strat­e­gy across a range of asset class­es.

  • U.S. Large cap equi­ties
  • U.S. Small cap equi­ties
  • For­eign Devel­oped mar­ket equi­ties
  • Emerg­ing mar­ket indices
  • Gold
  • Real estate

The Swan SMAs are avail­able for advi­sors to use with their clients at TD Amer­i­trade and oth­er cus­to­di­ans.

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Defin­ing Man­aged Sep­a­rate Accounts

A Sep­a­rate­ly Man­aged Account is a port­fo­lio of assets under the man­age­ment of a pro­fes­sion­al invest­ment firm. The vast major­i­ty of such invest­ments firms are called reg­is­tered invest­ment advi­sors, which are reg­u­lat­ed by of the U.S. Secu­ri­ties and Exchange Com­mis­sion (SEC) under the Invest­ment Advi­sors Act of 1940. One or more port­fo­lio man­agers are respon­si­ble for day-to-day invest­ment deci­sions, sup­port­ed by a team of ana­lysts, oper­a­tions and admin­is­tra­tive staff. Sep­a­rate­ly Man­aged Accounts dif­fer from mutu­al funds in that each port­fo­lio is unique to a sin­gle account, in which the man­ag­er has dis­cre­tion to make invest­ment deci­sions for each account.