Alex M. Prouty

SWAN GLOBAL INVESTMENTS

Durango, CO 81301

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CRD#: 7447961

Professional summary

Alex Martin Prouty is a registered financial advisor currently at SWAN GLOBAL INVESTMENTS, LLC located in Durango, Colorado.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Alex has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Martin Prouty's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 7, 2021 - Present

SWAN GLOBAL INVESTMENTS, LLC

Office #1: 1099 Main Ave. Unit 206, Durango, CO 81301

RIA

CRD#: 114669

Durango, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(10/7/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/7/2021

Uniform Investment Adviser Law Examination

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

SWAN CONSULTING, INC. | SWAN WEALTH ADVISORS, INC. | SWAN GLOBAL INVESTMENTS, LLC

CRD#: 114669 / SEC#: 801-70881

RIA

Registered Investment Advisory firm - (1/4/2010 Approved)

Colorado

Registered Investment Advisory firm - (2/19/2010 Terminated)

Texas

Registered Investment Advisory firm - (1/4/2010 Terminated)

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Contact information

Main Address

1099 Main Ave Suite 206, Durango, CO 81301

Mailing Address

Phone number

(970) 382-8901

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SWAN GLOBAL INVESTMENTS LLC ADV PART 2A BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,969
AUM (Assets Under Management)	$ 2,406,792,590

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Alex M. Prouty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Martin Prouty's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWAN GLOBAL INVESTMENTS, LLC

Primary Firm SEC Registration

SWAN GLOBAL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/2021

Current Firm

SWAN GLOBAL INVESTMENTS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SWAN GLOBAL INVESTMENTS, LLC

TRUST BUT VERIFY

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