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Investor Brochure — Swan Defined Risk Strategy (DRS)

Investors begin with cer­tain invest­ment goals in mind.

But in the face of unique and numer­ous invest­ment chal­lenges, many investors are increas­ing­ly uncer­tain if they can achieve their goals.

  • Dual Dilem­ma — bonds and stocks present new chal­lenges to the ‘bal­anced’ port­fo­lio
  • Uncer­tain­ty is on the rise along with glob­al debt lev­els.
  • Retirees need cash flow to last, but inter­est rates are near his­toric lows.
  • Investors need to remain invest­ed for growth, but stocks are near all-time highs?

The Swan Defined Risk Strat­e­gy (DRS) is unique­ly designed to address the need for growth and pro­tec­tion of assets today and for years to come.

Review the sim­ple, yet effec­tive invest­ment con­struc­tion of the DRS — engi­neered ‘to not lose big’.

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Pre­view or read the fact sheet below:


Swan DRS Investor Brochure — Outline

Since 1997, the Defined Risk Strat­e­gy (DRS) has helped investors grow and pro­tect wealth and is now offered in mul­ti­ple
vehi­cles, includ­ing sep­a­rate­ly man­aged accounts, mutu­al funds, and Col­lec­tive Invest­ment Funds (CIFs) for retire­ment accounts.

What Keeps Investors Awake at Night?

  • Stocks near all-time highs, while inter­est rates are near all-time lows-  a gen­er­a­tional invest­ment chal­lenge. Did you know how often bear mar­kets occur, or how severe their impact?
  • Seek­ing Con­sis­tent Returns with Reduced Volatil­i­ty  In a world of increas­ing uncer­tain­ty, investors seek core invest­ment options that can help them grow and pro­tect wealth through the ups and downs of the mar­ket.  See the Defined Risk Strategy’s con­sis­ten­cy of returns across rolling 10-year invest­ment peri­ods, all includ­ing both a bull and bear mar­ket.
  • DRS Invest­ment Phi­los­o­phy & Per­for­mance  See how the DRS per­formed in the great bear mar­kets of the 21st cen­tu­ry (2000–2002 and 2008) rel­a­tive to both a bal­anced 60/40 port­fo­lio (60% stocks and 40% bonds) and the S&P 500 Index.
  • How it Works  Review the sim­ple, yet pow­er­ful  con­cepts in the DRS invest­ment process and how a strat­e­gy ‘active­ly seek­ing to not lose big’ can help you grow and pro­tect wealth.

Swan DRS Overview

  • How it Works — Sim­ple, yet effec­tive, the port­fo­lio con­struc­tion is engi­neered ‘to not lose big’.  Since incep­tion in July 1997, the Swan DRS has out­per­formed the S&P 500 index and



The Swan DRS Invest­ment Process

The Swan Defined Risk Strategy Investment Process | Swan Global Investments



Dis­clo­sures: Swan Glob­al Invest­ments, LLC is a SEC reg­is­tered Invest­ment Advi­sor that spe­cial­izes in man­ag­ing mon­ey using the pro­pri­etary Defined Risk Strat­e­gy (“DRS”). SEC reg­is­tra­tion does not denote any spe­cial train­ing or qual­i­fi­ca­tion con­ferred by the SEC. Swan Glob­al Invest­ments offers and man­ages the Defined Risk Strat­e­gy for investors includ­ing indi­vid­u­als, insti­tu­tions and oth­er invest­ment advi­sor firms. Swan claims com­pli­ance with the Glob­al Invest­ment Per­for­mance Stan­dards (GIPS®). Any his­tor­i­cal num­bers, awards and recog­ni­tions pre­sent­ed are based on the per­for­mance of a (GIPS®) com­pos­ite, Swan’s DRS Select Com­pos­ite, which includes non­qual­i­fied dis­cre­tionary accounts invest­ed in since incep­tion, July 1997 and are net of fees and expens­es. All data used here­in; includ­ing the sta­tis­ti­cal infor­ma­tion, ver­i­fi­ca­tion and per­for­mance reports are avail­able upon request. All Swan prod­ucts uti­lize the Defined Risk Strat­e­gy (“DRS”), but may vary by asset class, reg­u­la­to­ry offer­ing type, etc. Accord­ing­ly, all Swan DRS prod­uct offer­ings will have dif­fer­ent per­for­mance results, and com­par­ing results among the Swan prod­ucts and com­pos­ites may be of lim­it­ed use. His­tor­i­cal per­for­mance results for mar­ket indices and/or cat­e­gories gen­er­al­ly do not reflect the deduc­tion of trans­ac­tion and/or cus­to­di­al charges or the deduc­tion of an invest­ment man­age­ment fee, the incur­rence of which would have the effect of decreas­ing his­tor­i­cal per­for­mance results. Eco­nom­ic fac­tors, mar­ket con­di­tions, and invest­ment strate­gies will affect the per­for­mance of any port­fo­lio and there are no assur­ances that it will match or out­per­form any par­tic­u­lar bench­mark. The S&P 500 Index is a mar­ket cap weight­ed index of 500 wide­ly held stocks often used as a proxy for the over­all U.S. equi­ty mar­ket. Index­es are unman­aged and have no fees or expens­es. An invest­ment can­not be made direct­ly in an index. Swan’s invest­ments may con­sist of secu­ri­ties which vary sig­nif­i­cant­ly from those in the bench­mark index­es list­ed above and per­for­mance cal­cu­la­tion meth­ods may not be entire­ly com­pa­ra­ble. Accord­ing­ly, com­par­ing results shown to those of such index­es may be of lim­it­ed use. The adviser’s depen­dence on its DRS process and judg­ments about the attrac­tive­ness, val­ue and poten­tial appre­ci­a­tion of par­tic­u­lar ETFs and options in which the advis­er invests or writes may prove to be incor­rect and may not pro­duce the desired results. There is no guar­an­tee any invest­ment or the DRS will meet its objec­tives. All invest­ments involve the risk of poten­tial invest­ment loss­es as well as the poten­tial for invest­ment gains. Pri­or per­for­mance is not a guar­an­tee of future results and there can be no assur­ance, and investors should not assume, that future per­for­mance will be com­pa­ra­ble to past per­for­mance. All invest­ment strate­gies have the poten­tial for prof­it or loss. Fur­ther infor­ma­tion is avail­able upon request by con­tact­ing us direct­ly or call 970.382.8901.

By |2018-10-09T15:59:13+00:00December 31st, 2016|DOCUMENTS, Performance|Comments Off on Swan DRS Investor Brochure