Investor Brochure - Swan Defined Risk Strategy (DRS)

What keeps you up a night? Investors face a rock and hard place scenario with bonds and stocks:

  • A rise in interest rates are bad news for bonds, meanwhile low rates mean low income.
  • A bear market is bad news for stocks. Did you know how often bear markets occur historically?

The Swan Defined Risk Strategy (DRS) is uniquely designed to address this ‘dual dilemma’ investors face today and for years to come.

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

Preview or read the fact sheet below:

Swan DRS Investor Brochure — Outline

Since 1997, the Defined Risk Strategy (DRS) has provided an effective solution to this dual dilemma and is now offered in multiple vehicles, including separately managed accounts, mutual funds, and Collective Investment Funds (CIFs) for retirement accounts.

 

What Keeps You Up at Night?Understanding the challenges investors face going forward, as well as, the frequency and impact of bear markets.

Capable of Serving  Growth Investors and Those Seeking Income and Growth

  • DRS as a Growth Plan (No Withdrawals) — By seeking to minimize large losses and volatility, the Swan DRS may help investors spend more time growing, and less time recovering over full market cycles. That’s a recipe that may help growth investors outperform a benchmark, like the S&P 500 index, over the long term.
  • DRS as an Income and Growth Plan (Monthly Withdrawals) — By seeking to limit downside capture, while participating in potential market appreciation, the Swan DRS may serve as a suitable account for systematic withdrawals. Investors seeking income could use the Swan DRS as a fixed income surrogate.

 

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. Further information is available upon request by contacting us directly or call 970.382.8901.

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