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Jim Engelken 2017-08-08T12:04:20+00:00

Con­tact Jim Engelken at x 104

Jim Engelken

Chief Com­pli­ance Offi­cer

Jim’s pri­ma­ry respon­si­bil­i­ties include the man­age­ment and over­sight of all report­ing, oper­a­tions, and com­pli­ance. He is also a sig­nif­i­cant con­trib­u­tor to the trad­ing and invest­ment man­age­ment team. Jim inte­grates invest­ment strate­gies into an oper­a­tions envi­ron­ment and ensures the suc­cess­ful imple­men­ta­tion of the Swan Defined Risk Strat­e­gy across the func­tions of mar­ket­ing, trade man­age­ment, report­ing, and com­pli­ance. He has devel­oped very strong ana­lyt­i­cal, tech­ni­cal, man­age­ment, and invest­ment skills, hav­ing pre­vi­ous­ly con­sult­ed with Ernst & Young, AT&T, Ver­i­zon, and Texas Instru­ments.

Jim has over 25 years of con­tin­u­ous invest­ment expe­ri­ence. He has active­ly man­aged pri­vate mon­e­tary funds for 15 years using stocks, options, and futures. He is a reg­is­tered invest­ment advi­sor and has worked with Mor­gan Stan­ley, Qual­i­tas Wealth Advi­sors, and J Engelken and Asso­ciates. He is a skilled pro­fes­sion­al speak­er and enjoys pre­sent­ing at invest­ment con­fer­ences and for var­i­ous invest­ment groups.

Jim has a B.A. in finance and com­put­er sci­ence from Loras Col­lege, and an M.B.A. from the Uni­ver­si­ty of Phoenix.

Jim, his wife, and two chil­dren love the out­doors and trav­el­ing. He vol­un­teers with var­i­ous non­prof­it orga­ni­za­tions includ­ing the Boy Scouts, Girl Scouts, local schools, and the aero­space team.