Disclosure Notes

All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is no guarantee of future results and there can be no assurance, and clients should not assume, that future performance will be comparable to past performance. Please note that registration of the Advisor does not imply a certain level of skill or training. Swan Global Investments, LLC is an asset manager utilizing their proprietary DRS-Defined Risk Strategy and is a SEC registered Investment Advisor. Swan Global Investments, LLCclaims compliance with the Global Investment Performance Standards (GIPS®). The verification and performance reports are available upon request. Historical performance numbers are based on a composite including all discretionary accounts which were invested in Swan Global Investments, LLC’s Defined Risk Strategy (DRS) since inception, July 1997. This composite is a combination of accounts utilizing margin and accounts not utilizing margin. Awards and industry recognition are based on the performance of Swan Global Investments, LLC’s DRS select composite which includes all discretionary accounts which utilize margin.

All content on this website is provided for informational purposes only. We do not give any advice or make any representations through the site as to whether any investment is suitable to you or will be profitable. Nothing on this site is intended to be, and you should not consider anything on this site to be, investment, accounting, tax or legal advice. If you would like investment, accounting, tax or legal advice, you should consult your own financial advisors, accountants or attorneys regarding your individual circumstances and needs.

*Overall Morningstar Rating TM Market Neutral Category as of 9/30/2014. Source: Morningstar, Inc.

Swan Global Investments, LLC is in compliance with the current filing requirements as required by those states in which Swan Global Investments, LLC maintains advisory clients. Swan Global Investments, LLC may only transact business in those states in which it is registered or qualifies for an exemption or exclusion from registration requirements. Swan Global Investments, LLC and Swan Global Management are affiliated with SEC Registered Swan Capital Management, LLC, which is the investment adviser for the Swan Defined Risk Mutual Fund (http://www.swandefinedriskfunds.com).

This website is limited to the dissemination of general information pertaining to its services. Accordingly, the publication of this website should not be construed by any consumer and/or prospective client as Swan Global Investments, Inc. solicitation to effect, or attempt to effect, transactions in securities or the rendering of personalized investment or tax advice for compensation, over the Internet. For information pertaining to the registration status of Swan Global Investments, LLC, please contact the Securities and Exchange Commission.

Statement Disclosures

Swan Global Investments, LLC is not affiliated with any of the following ratings companies and has no influence on the ratings.

Morningstar – *Overall Morningstar RatingTM Market Neutral Category as of 9/30/2014. Source: Morningstar, Inc., http://www.morningstar.com 
Pension and Investments Ratings – offered by Pensions & Investments is owned by Crain Communications Inc. http://www.pionline.com/ 

GIPS – *Global Investment Performance Standards (GIPS®). Swan Global Investments, Inc. claims compliance with the Global Investment Performance Standards (GIPS®). To receive a complete list and description of the firm’s composites and/or a presentation that adheres to the GIPS® standards, please contact Swan Global Investments, LLC

Privacy Policy

Like most industries today, the financial services industry is rapidly being shaped by technology, which is literally changing the way we do business. To be successful in this environment, we must continue to insure that our customers are confident that we will manage their financial affairs expertly and confidentially.

At Swan Global Investments, LLC, we are required to acquire and retain certain personal and private client information to provide the services we offer. It is essential that we use discretion and technology to manage and maintain certain customer information. We want to assure all of our customers that whenever information is used, it is done with discretion. The safeguarding of customer information is an issue we take seriously at Swan Global Investments, LLC. To affirm our continuing commitment to the proper use of customer information, we have set forth the following Privacy Principles. It is these Privacy Principles that guide us in serving the privacy needs of our customers.

Recognition of a Customer’s Expectation of Privacy: Swan Global Investments, LLC, we believe the confidentiality and protection of customer information is one of our fundamental responsibilities. And while information is critical to providing quality service, we recognize that one of our most important assets is our customers’ trust. Thus, the safekeeping of customer information is a priority for Swan Global Investments, LLC.

Use, Collection, and Retention of Customer Information: Swan Global Investments, LLC limits the use, collection, and retention of customer information to what we believe is necessary or useful to conduct our business, provide quality service, and offer products, services, and other opportunities that may be of interest to our customers. Information collected may include, but is not limited to name, address, telephone number, tax identification number, date of birth, employment status, annual income, and net worth.

Maintenance of Accurate Information: Swan Global Investments, LLC recognizes that it must maintain accurate customer records. Therefore, Swan Global Investments, LLC has established procedures to maintain the accuracy of customer information and to keep such information current and complete. These procedures include responding to requests to correct inaccurate information in a timely manner.

Limiting Employee Access to Information: At Swan Global Investments, LLC, employee access to personally identifiable customer information is limited to those with a business reason to know such information. Employees are educated on the importance of maintaining the confidentiality of customer information and on these Privacy Principles. Because of the importance of these issues, all Swan Global Investments, LLC employees are responsible for maintaining the confidentiality of customer information and employees who violate these Privacy Principles will be subject to disciplinary measures.

Protection of Information via Established Security Procedures: Swan Global Investments, LLC recognizes that a fundamental element of maintaining effective customer privacy procedures is to provide reasonable protection against the unauthorized access to customer information. Therefore, Swan Global Investments, LLC has established appropriate security standards and procedures to guard against any unauthorized access to customer information.

Restrictions on the Disclosure of Customer Information: When it comes to sharing customer information with unaffiliated companies, Swan Global Investments, LLC, places strict limits on who receives specific information about customer accounts and other personally identifiable data. Swan Global Investments, LLC may share information with such companies if they provide a product or service that may benefit our customers. Whenever we do this, we carefully review the company and the product or service to make sure that it provides value to our customers. We share the minimum amount of information necessary for that company to offer its product or service. We may also share information with unaffiliated companies that assist us in providing our products and services to our customers; in the normal course of our business (for example, with consumer reporting agencies and government agencies); when legally required or permitted in connection with fraud investigations and litigation; in connection with acquisitions and sales; and at the request or with the permission of a customer.

Maintaining Customer Privacy in Business Relationships with Third Parties: If we provide personally identifiable customer information to a third party with which we have a business relationship, we will insist that the third party keep such information confidential, consistent with the conduct of our business relationship.

Disclosure of Privacy Principles to Customers: Swan Global Investments, LLC recognizes and respects the privacy expectations of our customers. We want our customers to understand our commitment to privacy in our use of customer information. As a result of our commitment, we have developed these Privacy Principles which are made readily available to our customers. Customers who have questions about these Privacy Principles or have a question about the privacy of their customer information should call Swan Global Investments, LLC at 970–382-8901.

These Privacy Principles apply to individuals, and we reserve the right to change these Privacy Principles, and any of the policies or procedures described above, at any time without prior notice. These Privacy Principles are for general guidance and do not constitute a contract or create legal rights and do not modify or amend any agreements we have with our customers.