Swan Global Investments, LLC — 13F Holdings & Portfolio

CIK 1591505 · latest 13F-HR filed 2026-08-11

Swan Global Investments, LLC manages $3.39B in 13F-reported U.S. long-equity assets across 104 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are SPYM (34.10%), SPY (23.67%), IVV (11.99%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 23 new positions and exited 0; 49 existing positions rose in reported value and 7 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

AUM

$3.39B

Long-equity book

Holdings

104

Distinct positions

Period

2026-06-30

Filed 2026-08-11

Q/Q Activity

+23 / −0 / ↑49 / ↓7

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26

SPY36.6% · +8%IVV18.5% · -11%XLK4.9% · +0%PSMO3.9% · -2%PSMD3.7% · -1%PSMJ3.6% · +5%PSMR3.5% · +6%PSCW2.4% · -2%PSCQ1.9% · -2%HEGD1.9% · -1%PSCJ1.6% · -2%PSFD1.5% · -0%XLF1.4% · +0%PSFO1.3% · -2%PSCX1.2% · -2%PSFJ1.2% · +13%XLY1.1% · +0%XLV1.1% · +0%XLI1.1% · +0%XLC1.0% · +0%AAPL0.9% · +1385%PSFM0.8% · +25%MSFT0.6% · +1427%XLP0.5% · +0%XLE0.4% · +0%PLTR0.3% · +2344%LRCX0.3% · new XLU0.3% · +0%NVDA0.2% · +330%XLB0.2% · +0%XLRE0.2% · +0%ADI0.2% · new AMD0.1% · +204%GOOG0.1% · new AMZN0.1% · +194%MU0.1% · +5%META0.1% · +200%CVX0.1% · new NOW0.1% · new SCLZ0.1% · +4%GOOGL0.1% · +38%SPGI0.1% · new SMCI0.1% · new EBAY0.0% · new AVGO0.0% · -0%QCOM0.0% · new LLY0.0% · +4%TMUS0.0% · new GLD0.0% · 0%BOXX0.0% · -22%JPM0.0% · +12%CSCO0.0% · +1%IBTG0.0% · new SGOL0.0% · +6%APH0.0% · new TSLA0.0% · +67%TTAN0.0% · new ORCL0.0% · new GE0.0% · -2%JNJ0.0% · +4%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

3 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 80.9%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 13, 2026.

Assets Under Management

$2.39B

Discretionary

$2.39B

Employees

Accounts

1,231

Address

1099 MAIN AVE
SUITE 206
DURANGO, CO 81301

Phone

(970) 382-8901

Website

ETFS.SWANGLOBALINVESTMENTS.COM
WWW.SWANGLOBALINVESTMENTS.COM
FUNDS.SWANGLOBALINVESTMENTS.COM

Name	Title / Status	Ownership	Type
SWAN, RANDALL, WILLIAM Control	CEO since Jun 1999	Less than 5%	Individual
ACKERMAN, BRADLEY, OWEN	CHIEF COMPLIANCE OFFICER since Jul 2018	Less than 5%	Individual
BATES, ETHAN	CFO since Oct 2013	Less than 5%	Individual
SWAN GLOBAL HOLDINGS-US, LLC	OWNER since Dec 2014	75% or more	Domestic Entity
SWAN, ROBERT, BRADLEY	COO since Dec 2014	Less than 5%	Individual
SWAN, RANDALL, WILLIAM Control Indirect owner via SWAN WEALTH ADVISORS HOLDINGS, INC	OWNER since Dec 2014	50–75%	Individual
SWAN CAPITAL MANAGEMENT HOLDINGS, INC Indirect owner via SWAN GLOBAL HOLDINGS-US, LLC	OWNER since Dec 2014	25–50%	Domestic Entity
SWAN WEALTH ADVISORS HOLDINGS, INC Indirect owner via SWAN GLOBAL HOLDINGS-US, LLC	OWNER since Dec 2014	25–50%	Domestic Entity

Ownership & leadership changes · 7 filings with changes since Mar 28, 2012

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Mar 12, 2021 filing

No longer listedSWAN, RANDALL, WILLIAM · OWNER · 50–75% · indirect via SWAN CAPITAL MANAGEMENT HOLDINGS, INC · control person · listed since Dec 2014

Mar 13, 2020 filing

AddedBATES, ETHAN · CFO · Less than 5%

Jul 17, 2018 filing

No longer listedENGELKEN, JAMES, A · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Sep 2011
AddedACKERMAN, BRADLEY, OWEN · CHIEF COMPLIANCE OFFICER · Less than 5%

Mar 30, 2015 filing

No longer listedSWAN, LAURA, K · MEMBER · 10–25% · listed since Oct 2014
AddedSWAN CAPITAL MANAGEMENT HOLDINGS, INC · OWNER · 25–50% · indirect via SWAN GLOBAL HOLDINGS-US, LLC
AddedSWAN GLOBAL HOLDINGS-US, LLC · OWNER · 75% or more
AddedSWAN WEALTH ADVISORS HOLDINGS, INC · OWNER · 25–50% · indirect via SWAN GLOBAL HOLDINGS-US, LLC
AddedSWAN, RANDALL, WILLIAM · OWNER · 50–75% · indirect via SWAN WEALTH ADVISORS HOLDINGS, INC · control person
AddedSWAN, RANDALL, WILLIAM · OWNER · 50–75% · indirect via SWAN CAPITAL MANAGEMENT HOLDINGS, INC · control person
ChangedENGELKEN, JAMES, A · title CHIEF COMPLIANCE OFFICER/INVESTMENT MGR → CHIEF COMPLIANCE OFFICER
ChangedSWAN, RANDALL, WILLIAM · title CEO, MANAGING MEMBER → CEO; ownership 75% or more → Less than 5%

Jan 30, 2015 filing

AddedSWAN, LAURA, K · MEMBER · 10–25%
ChangedSWAN, RANDALL, WILLIAM · title PRESIDENT/CHIEF EXECUTIVE OFFICER → CEO, MANAGING MEMBER

Jan 26, 2015 filing

AddedSWAN, ROBERT, BRADLEY · COO · Less than 5%

Mar 8, 2013 filing

ChangedENGELKEN, JAMES, A · title CHIEF COMPLIANCE OFFICER/CFO → CHIEF COMPLIANCE OFFICER/INVESTMENT MGR

Mar 28, 2012 filing (earliest on record)

ListedENGELKEN, JAMES, A · CHIEF COMPLIANCE OFFICER/CFO · Less than 5%
ListedSWAN, RANDALL, WILLIAM · PRESIDENT/CHIEF EXECUTIVE OFFICER · 75% or more · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

SPDR S&P 500 ETF TR$153.9M +23.8%
SELECT SECTOR SPDR TR$32.5M +43.7%
APPLE INC$17.8M +1592.8%
MICROSOFT CORP$12.0M +1438.4%
PACER FDS TR$8.5M +12.3%

Show all 49 →

Top Trims

SELECT SECTOR SPDR TR-$1.2M -12.9%
BERKSHIRE HATHAWAY INC DEL-$339.5K -59.2%
EA SERIES TRUST-$204.1K -21.1%
SPDR Gold Trust-$132.8K -14.4%
ETFS GOLD TR-$60.2K -9.1%

Show all 7 →

New Positions

Show all 23 →

Exited Positions

No exits this quarter.

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#	Issuer	Symbol	CUSIP	Value	Δ

Swan Global Investments, LLC Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

#	Issuer	Symbol	CUSIP	Value	Weight	Shares	Type
1	SPDR S&P 500 ETF TR Put	SPYM	78462F953	$1.15B	34.10%	1,840,200	SH
2	SPDR S&P 500 ETF TR	SPY	78462F103	$801.2M	23.67%	1,072,921	SH
3	ISHARES TR	IVV	464287200	$405.8M	11.99%	541,901	SH
4	SELECT SECTOR SPDR TR	XLK	81369Y803	$106.8M	3.16%	560,690	SH
5	PACER FDS TR	PSMO	69374H485	$85.7M	2.53%	2,633,439	SH
6	PACER FDS TR	PSMD	69374H550	$80.4M	2.37%	2,342,410	SH
7	PACER FDS TR	PSMJ	69374H493	$79.4M	2.35%	2,347,266	SH
8	PACER FDS TR	PSMR	69374H519	$77.6M	2.29%	2,411,647	SH
9	PACER FDS TR	PSCW	69374H543	$52.4M	1.55%	1,744,472	SH
10	PACER FDS TR	PSCQ	69374H527	$41.9M	1.24%	1,342,756	SH
11	LISTED FD TR	HEGD	53656F599	$41.8M	1.24%	1,569,429	SH
12	PACER FDS TR	PSCJ	69374H535	$35.5M	1.05%	1,121,765	SH
13	PACER FDS TR	PSFD	69374H576	$32.8M	0.97%	824,213	SH
14	SELECT SECTOR SPDR TR	XLF	81369Y605	$30.7M	0.91%	572,383	SH
15	PACER FDS TR	PSFO	69374H451	$29.1M	0.86%	840,907	SH
16	PACER FDS TR	PSCX	69374H584	$25.8M	0.76%	788,754	SH
17	PACER FDS TR	PSFJ	69374H469	$25.7M	0.76%	729,426	SH
18	SELECT SECTOR SPDR TR	XLY	81369Y407	$23.9M	0.70%	203,454	SH
19	SELECT SECTOR SPDR TR	XLV	81369Y209	$23.5M	0.69%	147,836	SH
20	SELECT SECTOR SPDR TR	XLI	81369Y704	$23.1M	0.68%	124,570	SH
21	SELECT SECTOR SPDR TR	XLC	81369Y852	$21.0M	0.62%	196,236	SH
22	APPLE INC	AAPL	037833100	$18.9M	0.56%	65,417	SH
23	PACER FDS TR	PSFM	69374H477	$17.7M	0.52%	507,781	SH
24	MICROSOFT CORP	MSFT	594918104	$12.8M	0.38%	34,410	SH
25	SELECT SECTOR SPDR TR	XLP	81369Y308	$12.0M	0.35%	144,652	SH
26	MIAMI INTL HLDGS INC Put	—	59356Q958	$11.3M	0.33%	322,200	SH
27	SPDR S&P 500 ETF TR Call	EFIV	78462F903	$8.7M	0.26%	1,046,100	SH
28	SELECT SECTOR SPDR TR	XLE	81369Y506	$8.0M	0.24%	149,961	SH
29	PALANTIR TECHNOLOGIES INC	PLTR	69608A108	$7.0M	0.21%	60,335	SH
30	LAM RESEARCH CORP	LRCX	512807306	$5.9M	0.17%	13,617	SH
31	SELECT SECTOR SPDR TR	XLU	81369Y886	$5.6M	0.17%	123,778	SH
32	NVIDIA CORPORATION Put	NVDA	67066G954	$5.4M	0.16%	40,000	SH
33	NVIDIA CORPORATION	NVDA	67066G104	$5.3M	0.16%	26,623	SH
34	SELECT SECTOR SPDR TR	XLB	81369Y100	$4.6M	0.14%	91,056	SH
35	SELECT SECTOR SPDR TR	XLRE	81369Y860	$4.6M	0.14%	104,653	SH
36	ANALOG DEVICES INC	ADI	032654105	$3.6M	0.11%	9,084	SH
37	APPLE INC Put	AAPL	037833950	$3.3M	0.10%	14,200	SH
38	ADVANCED MICRO DEVICES INC	AMD	007903107	$3.2M	0.09%	5,517	SH
39	ALPHABET INC	GOOG	02079K107	$2.3M	0.07%	6,536	SH
40	AMAZON COM INC	AMZN	023135106	$2.3M	0.07%	9,458	SH
41	MICRON TECHNOLOGY INC	MU	595112103	$1.9M	0.06%	1,632	SH
42	META PLATFORMS INC	META	30303M102	$1.9M	0.05%	3,299	SH
43	CHEVRON CORP NEW	CVX	166764100	$1.8M	0.05%	10,926	SH
44	CHENIERE ENERGY INC Put	LNG	16411R958	$1.8M	0.05%	7,500	SH
45	SERVICENOW INC	NOW	81762P102	$1.5M	0.04%	14,918	SH
46	AMAZON COM INC Put	AMZN	023135956	$1.5M	0.04%	8,400	SH
47	Swan Enhanced Dividend Income ETF	SCLZ	66538R532	$1.4M	0.04%	25,295	SH
48	ISHARES TR Put	IFXAF	464287955	$1.4M	0.04%	5,400	SH
49	ALPHABET INC	GOOGL	02079K305	$1.4M	0.04%	3,809	SH
50	META PLATFORMS INC Put	META	30303M952	$1.3M	0.04%	2,700	SH