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Asset manager · Houston, TX

Red Swan Private Client

Redswan PC, Inc · SEC-registered investment adviser · CRD 307278 · SEC 801-118188

At a glance

Red Swan Private Client is an SEC-registered investment adviser based in Houston, Texas, with $165 million in regulatory assets under management as of its Form ADV filed March 4, 2026. Its largest client group by assets is corporations or other businesses. By Form ADV it is a asset manager, ranked 2,185th of 3,218 asset managers and 13,218th of 17,210 SEC-registered advisers by assets.

Main office 713-360-7928redswan.ioLinkedInAs filed on Form ADV

Regulatory AUM
$165M
Rank among asset managers
#2,185 of 3,218
Rank among all SEC RIAs
#13,218 of 17,210
Rank in Texas
#883 of 1,081
Clients
7
Accounts
7
Discretionary
0% of AUM
Employees
8
Advisory staff
2
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Red Swan Private Client’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Red Swan Private Client is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Redswan Markets, LLC.

Other hybrid RIAs

Who it serves

Client typeClientsRegulatory AUMShare
Corporations or other businesses7$165M100%

Disciplinary disclosures

Red Swan Private Client reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Portfolio management for individuals and small businesses
  • Portfolio management for businesses and institutions

How it’s paid

  • A percentage of assets under management
  • Other

Form ADV and brochures on the SEC’s adviser search ↗redswan.io ↗

AtlasMembers

The full record on Red Swan Private Client

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, 5 years of filings
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Growth over one, three and five years
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Rank against 739 peers of its type and size
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Owners and executives, with titles and stakes
3 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Red Swan Private Client manage?

Red Swan Private Client reports $165 million in regulatory assets under management across 7 accounts, on its Form ADV filed March 4, 2026.

What kind of firm is Red Swan Private Client?

Red Swan Private Client is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.

Who are Red Swan Private Client’s clients?

By assets, its largest client types are corporations or other businesses ($165 million, 7 clients).

Does Red Swan Private Client have any disciplinary history?

Red Swan Private Client reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is Red Swan Private Client’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-04), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →