1-Page Brochure — Swan Defined Risk Collective Investment Trust Funds (CIT)

Focused on Outcomes for Plan Participants

The Defined Risk Strategy (DRS), launched in 1997, was uniquely conceived by an investor, to serve the best interest of the average investor.

Engineered to define risk and smooth returns, the Defined Risk Collective Investment Funds (CITs) serve plan advisors focused on participant outcomes.


It’s All About Outcomes
Outline — Swan Defined Risk CIT – 1-Page Brochure

Reducing large losses and smoothing returns over market cycles can lead to better participant outcomes.

  • Consistency of Returns helps address timing risk associated with different enrollment and retirement dates.
  • Limiting losses help portfolios spend less time recovering and more time compounding.
  • Smoothing of returns helps limit ‘statement shock’, helping participants remain invested and on track.


Finding a Suitable Default / QDIA

According to the Department of Labor’s Tips for ERISA Plan Fiduciaries on selecting Target Date Funds, it is prudent to select a default investment that may be able to smooth returns in uncertain markets.

The Swan DRS Investment Process

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.

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