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Brochure

Dec. 31, 2016

Swan Defined Risk Strategy Investor Brochure

Investor Brochure — Defined Risk Strategy: Investing Redefined®

We approach investing differently.

Our proven, goals-based strategy seeks to avoid big losses so you can…

  • achieve your goals on time,
  • preserve your irreplaceable wealth, and
  • secure a retirement that lasts.

 

Launched in 1997, our proprietary Defined Risk Strategy (DRS) is a distinct and proven goals-based approach that seeks to avoid big losses to preserve wealth and generate consistent long-term returns. 

 

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

Download PDF

Our Company Brochure — Outline

OUR INVESTING PHILOSOPHY

 

Seek to Avoid Big Losses

  • Your time is irreplaceable and so is your wealth.
  • Avoiding big losses is critical to reaching your long-term goals on time.
  • Reducing the negative impact of bear markets can help you lose less money, so you can spend
    more time compounding your wealth and less time recovering it.

 

Seek Consistent Returns

  • Every financial plan is built with the best of intentions, but you never know what the markets will
    deliver.
  • Even the best plan is only as good as your ability to stick with it.
  • Consistent returns through volatile markets may help you stick with your financial plan and improve your chances of achieving long-term goals.

 

Investor’s Dual Dilemma

  • The traditional balanced portfolio of stocks and bonds faces historic challenges with stock market values pushing new highs, while bond yields are near historic lows. 
  • Because the investing landscape has changed, how you invest for long-term goals may need to
    be redefined.
  • Investors need another fundamental tool in a goals-based strategy to solve the investment
    challenges of today and tomorrow.

 

WHAT IS INVESTING REDEFINED®?

 

It means focusing on what matters most to investors—having the money you need when you
need it.

 

The biggest risk, or threat, to this objective is losing big.

 

So we seek to define risk—limit the risk of losing big—so investors may be better positioned to
achieve long-term goals.

More Helpful Investor Insights
Picking Your Battles: Corrections vs Bear Markets Understand and compare the nature of market corrections vs bear markets, analyzes their impacts, and which is more important to protect against.
The Retirement Conundrum: Untying the Gordian Knot Examine how the individual components of the typical 60/40 portfolio and target date funds are ill-positioned to get investors 'to and through' retirement. The paper also introduces some possible alternatives to both capital preservation and income.
Math Matters: How Math Impacts Results Investors often are unaware of the math that really drives investment results. This paper dives into the 4 main mathematical principles behind long-term investment success.

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.