Swan Global Investments

Swan Global Investments
1101 Main Ave. Ste 206
Durango, CO 81301
Phone: 970.382.8901 ext. 1
www.swanglobalinvestments.com

Articles by Swan Global Investments

Randy Swan
Founder, CEO & Lead Portfolio Manager

Randy Swan

Randy Swan developed the Defined Risk Strategy in 1997 to help protect clients from large losses. Before founding Swan Global Investments, Randy was a CPA and senior manager for KPMG's Financial Services Group, primarily working with insurance companies and risk managers. His experience at KPMG helped him in designing the DRS, as he was able to see firsthand how insurance companies manage risk. The DRS seeks to use options strategically and tactically to structure particular risk/reward parameters in portfolio management.

Randy is a frequent speaker at industry conferences such as the Options Industry Council's Wealth Summit, the Alternative Investment Summit and more. Additionally, he serves on the Advisory Leadership Council of the Options Industry Council (OIC). The initiative is designed to support education within the financial advisor channel, specifically focused on advancing the awareness and use of options in building a superior portfolio.

Randy is a 1990 graduate of the University of Texas with a master's degree in professional accounting.

Robert Swan
COO & Portfolio Manager

Robert Swan

Rob manages and implements the Swan Defined Risk Strategy as Co-Portfolio Manager, including investment management and trading as well as development and maintenance of proprietary technology, enabling Swan to scale and execute the DRS across multiple platforms and thousands of accounts. He also provides daily oversight of Swan operations as COO.

Prior to joining Swan, Rob's previous positions have ranged from flight-test engineering and computer aided design software development at the Boeing Company, to director of operations and part owner of Object Publisher Web Services, the leading web service automation provider for custom brochure and catalog publishing. His analytical, technical, and computing skills have been developed and applied since 1988 in production software development, computer automation, process design and standardization, business and technical process modeling, and aerodynamics engineering.

Rob's outside interests include mountain biking, fishing, skiing, scuba diving, and sailing. He took a one-year sabbatical with his wife, Michelle, to sail their 40' boat from Seattle to Mexico, across to French Polynesia, up to Hawaii and back to Seattle. (Rob now understands why people invented airplanes.) Rob and Michelle spend time trying to keep up with their two boys, Jackson and Austin, who are quite a bit faster than their sailboat.

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Important Risk Disclosure

Investing involves risk including the risk of loss of principal.

ETFs trade like stocks, are subject to investment risk, fluctuate in market value and may trade at prices above or below the ETFs net asset value. Brokerage commissions and ETF expenses will reduce returns.

This communication is not intended to be an investment recommendation or investment advice and should not be relied upon as such.

The S&P 500® Index is a product of S&P Dow Jones Indices LLC or its affiliates (“S&P DJI”) and have been licensed for use by State Street Global Advisors. S&P®, SPDR®, S&P 500®,US 500 and the 500 are trademarks of Standard & Poor’s Financial Services LLC (“S&P”); Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC (“Dow Jones”) and has been licensed for use by S&P Dow Jones Indices; and these trademarks have been licensed for use by S&P DJI and sublicensed for certain purposes by State Street Global Advisors. The fund is not sponsored, endorsed, sold or promoted by S&P DJI, Dow Jones, S&P, their respective affiliates, and none of such parties make any representation regarding the advisability of investing in such product(s) nor do they have any liability for any errors, omissions, or interruptions of these indices.

Distributor: ALPS Distributors, Inc., member FINRA, is distributor for SPDR® S&P 500®, SPDR® S&P MidCap 400® and SPDR® Dow Jones Industrial Average, all unit investment trusts. ALPS Distributors, Inc. is not affiliated with State Street Global Advisors Funds Distributors, LLC.

Before investing, consider the funds’ investment objectives, risks, charges and expenses. To obtain a prospectus or summary prospectus, which contains this and other information, call 1.866.787.2257 or visit www.ssga.com. Read it carefully.

None of State Street Corporation, State Street Global Advisors, SSGA Funds Management, Inc. or any of their affiliates or subsidiaries (“State Street”) are affiliated with VettaFi ETF Strategist. However, State Street may enter into, and may have entered into, certain marketing arrangements with VettaFi ETF Strategist, including arrangements relating to SPDR® ETFs. State Street does not endorse VettaFi ETF Strategist and disclaims any liability associated with VettaFi ETF Strategist.

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5491895.1.2.AM.RTL
SPD003411
Expiration: 2/28/2025