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Articles by Swan Global Investments

ETF Portfolio Strategies

Randy Swan - Founder, CEO & Lead Portfolio Manager

Randy Swan
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
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.

Platforms Available

  • Pershing
  • Charles Schwab
  • TD Ameritrade
  • National Financial Services
  • Cetera Advisory Platform