Chris Caswell is a registered investment advisor at Swan Global Investments, LLC, based in Tampa, FL, with 13 years of industry experience. Chris operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,969 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.25% |
Fees are negotiable and range from 0.50% to 1.25%.
Fee Estimator
Location
4350 W. Cypress St, Suite 725, Tampa, FL, 33607
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Chris is a limited partner with OHC Advisors, LLC, a private real estate venture building a senior assisted living facility, since June 2021. He has no day-to-day activities and spends no time on this investment.
Employment History
Current Registrations
Swan Global Investments, LLC
Northern Lights Distributors, LLCBroker
Northern Lights Distributors, LLC
Previous Registrations
Wells Fargo Advisors, LLCBroker
State Registrations3 states
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