Dec. 31, 2016

Swan Defined Risk Strategy Investor Brochure

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’.


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

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.