Swan Global Investments Defined Risk Growth Fund Hits $100MM in AUM

Milestone Achieved With 3 Years of Category-Leading Performance as Investors Seek Hedged Opportunities

DURANGO, Colo.--(BUSINESS WIRE)--Swan Global Investments (“Swan”), a specialized asset management firm with a 24+ year track record in hedged equity solutions, today announced that the Swan Defined Risk Growth Fund (Ticker Symbols: Class A: SDAAX, Class C: SDACX, Class I: SDAIX) has achieved the milestone AUM of $100 million, showcasing investor appetite for mitigating the risks inherent in U.S. equity markets while pursuing long-term growth of capital.

Swan’s Defined Risk Growth Fund seeks capital appreciation and superior risk-adjusted returns over a full market cycle with potentially less downside risk and volatility than the S&P 500 Index. The fund is built upon Swan’s innovative and time-tested “Always Invested, Always Hedged” process launched in 1997—a distinct blend of passive investing and active risk management.

Now approaching its third full year, with top-of-peer-group performance since inception, the Fund will become eligible for broader platform distribution this December and available to more investors.

“The time-tested formula of investing in the S&P while actively managing hedging strategies has resonated with investors during this period of geopolitical and market uncertainty,” said Randy Swan, Founder and Lead Portfolio Manager of Swan Global Investments. “Investors and financial advisors are keen to reap market upside while remaining vigilant as we look towards an inflationary cycle, and we are pleased the market recognizes that our Defined Risk Growth Fund allows investors to quickly and easily add hedged equity to their portfolios.”

With equities and fixed income confronting periods of uncertainty due to governmental and policy changes, the options-based hedging approach implemented by Swan has become increasingly attractive to investors. In terms of assets under management and number of products available, options-based strategies have experienced soaring growth over the last several years—rising from 23 funds and $10bn in AUM in 2010 to 230 funds and $48bn in AUM in 2020, according to Morningstar.

“Financial advisors and investors see the writing on the wall and understand that the long-term bull market is under pressure – and exercising caution while still capitalizing on the available upside is key,” said Chris Hausman, Portfolio Manager at Swan Global Investments. “By maintaining steady investments in the market with low-cost ETFs while strategically, actively hedging with long-term put options, investors can mitigate the unforeseen challenges and risks that lie ahead as we enter 2022.”

To learn more about the Swan Defined Risk Growth Fund, visit https://swandefinedriskfunds.com/defined-risk-growth-fund/.

About Swan

Founded in 1997, Swan Global Investments is a leading asset management firm that offers time-tested hedged equity and options-based solutions that seek consistent long-term returns over time, by prioritizing the pursuit of preserving investors’ irreplaceable capital. There is no guarantee of performance, nor that the Fund will meet its objective or perform as other investment products Swan Global Investments manages.

Swan Global Investments is an SEC registered Investment Advisor that specializes in managing money using the proprietary Defined Risk Strategy (DRS). Please note that registration of the Advisor does not imply a certain level of skill or training. All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is no guarantee of future results and there can be no assurance that future performance will be comparable to past performance. This communication is informational only and is not a solicitation or investment advice. Further information may be obtained by contacting the company directly at 970-382-8901 or swanglobalinvestments.com.

Investors should carefully consider the investment objective, risks, charges and expenses of the Swan Defined Risk Funds. This and other information is contained in the prospectus and should be read carefully before investing. For a prospectus please call Swan Defined Risk Fund at [phone]. The Fund is distributed by Northern Lights Distributors, LLC. Northern Lights Distributors, LLC and Swan Capital Management, LLC & Swan Global Investments, LLC are not affiliated. ****-NLD-11/**/2021

Important Risk Information: Swan Global Investments is an SEC registered Investment Advisor that specializes in managing money using the proprietary Defined Risk Strategy (DRS). Please note that registration of the Advisor does not imply a certain level of skill or training. All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is no guarantee of future results and there can be no assurance that future performance will be comparable to past performance. This communication is informational only and is not a solicitation or investment advice. Further information may be obtained by contacting the company directly at 970-382-8901 or www.swanglobalinvestments.com.

Downside risk is an estimation of a security's potential to suffer a decline in value if the market conditions change, or the amount of loss that could be sustained as a result of the decline.

All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is no guarantee of future results and there can be no assurance that future performance will be comparable to past performance. Investments in mutual funds involve risk including possible loss of principal. There is no guarantee that any investment strategy will achieve its objectives, generate profits, or avoid losses. 8124-NLD-11/15/2021