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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ROTHSCHILD WEALTH MANAGEMENT (AMERICAS) AG

CRD 157707

ZURICH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e10d40e2-f259-92d5-43df-e90dd3f1e61f

Data as of Jul 6, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jul 6, 2012
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.9MItem 5.F on the latest filing (2012-07-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.9M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1
SEC number: 801-72758
CRD: 157707
Filings on the tape: 2
First filed: Mar 28, 2012
Latest filed: Jul 6, 2012
Organised: Corporation

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CONCORDIA HOLDING SARL	Shareholder	E	yes	07/2003	Mar 28, 2012	Jul 6, 2012
DIDHAM, ANDREW	BOARD MEMBER	Na	yes	07/2011	Mar 28, 2012	Jul 6, 2012
PARIS ORLEANS BANCAIRE SAS	Shareholder	C	yes	06/2012	Jul 6, 2012	Jul 6, 2012
PARIS ORLEANS HOLDING BANCAIRE SAS	Shareholder	E	yes	01/2008	Jul 6, 2012	Jul 6, 2012
PARIS ORLEANS SCA	Shareholder	E	yes	01/2008	Jul 6, 2012	Jul 6, 2012
ROTHSCHILD CONCORDIA AG	Shareholder	D	yes	04/1990	Mar 28, 2012	Jul 6, 2012
ROTHSCHILD CONCORDIA SAS	Shareholder	F	yes	01/2008	Mar 28, 2012	Jul 6, 2012
ROTHSCHILD CONTINUATION HOLDINGS AG	SHAREHOLDER, COMMON VOTING	D	yes	12/1995	Mar 28, 2012	Jul 6, 2012
ROTHSCHILD HOLDINGS AG	PARENT OF APPLICANT	E	yes	07/2011	Mar 28, 2012	Jul 6, 2012
BARRETT, MARY, FRANCINE	CHIEF COMPLIANCE OFFICER	Na	no	03/2012	Mar 28, 2012	Jul 6, 2012
CAPEL-CURE, HUGO	HEAD OF INVESTMENT MANAGEMENT	Na	no	03/2012	Mar 28, 2012	Jul 6, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ROTHSCHILD WEALTH MANAGEMENT (UK) LTD.	n/a	Mixed wealth	$28B	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Jul 6, 2012	$1.9M	$1.9M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$1.9M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ ROTHSCHILD AND CO WEALTH MANAGEMENT UK LIMITEDRegistered adviserother investment adviser, control
factForm ADV

Controls (9)

← DIDHAM, ANDREWOwnerBOARD MEMBER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← CONCORDIA HOLDING SARLOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 28, 2012 to presentfactForm ADV
← PARIS ORLEANS BANCAIRE SASOwnerSHAREHOLDER, ownership code C, foreign entity
Jul 6, 2012 to presentfactForm ADV
← PARIS ORLEANS HOLDING BANCAIRE SASOwnerSHAREHOLDER, ownership code E, foreign entity
Jul 6, 2012 to presentfactForm ADV
← PARIS ORLEANS SCAOwnerSHAREHOLDER, ownership code E, foreign entity
Jul 6, 2012 to presentfactForm ADV
← ROTHSCHILD CONCORDIA AGOwnerSHAREHOLDER, ownership code D, foreign entity
Mar 28, 2012 to presentfactForm ADV
← ROTHSCHILD CONCORDIA SASOwnerSHAREHOLDER, ownership code F, foreign entity
Mar 28, 2012 to presentfactForm ADV
← ROTHSCHILD CONTINUATION HOLDINGS AGOwnerSHAREHOLDER, COMMON VOTING, ownership code D, foreign entity
Mar 28, 2012 to presentfactForm ADV
← ROTHSCHILD HOLDINGS AGOwnerPARENT OF APPLICANT, ownership code E, foreign entity
Mar 28, 2012 to presentfactForm ADV

Owns (2)

← CAPEL-CURE, HUGOOwnerHEAD OF INVESTMENT MANAGEMENT, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← BARRETT, MARY, FRANCINEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e10d40e2-f259-92d5-43df-e90dd3f1e61f
First observed: Mar 28, 2012
Last observed: Jul 6, 2012 172 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROTHSCHILD WEALTH MANAGEMENT (AMERICAS) AG

CRD 157707

ZURICH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e10d40e2-f259-92d5-43df-e90dd3f1e61f

Data as of Jul 6, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:15 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONCORDIA HOLDING SARL

Shareholder

yes

07/2003

Mar 28, 2012

Jul 6, 2012

DIDHAM, ANDREW

BOARD MEMBER

yes

07/2011

Mar 28, 2012

Jul 6, 2012

PARIS ORLEANS BANCAIRE SAS

Shareholder

yes

06/2012

Jul 6, 2012

PARIS ORLEANS HOLDING BANCAIRE SAS

Shareholder

yes

01/2008

Jul 6, 2012

PARIS ORLEANS SCA

Shareholder

yes

01/2008

Jul 6, 2012

ROTHSCHILD CONCORDIA AG

Shareholder

yes

04/1990

Mar 28, 2012

Jul 6, 2012

ROTHSCHILD CONCORDIA SAS

Shareholder

yes

01/2008

Mar 28, 2012

Jul 6, 2012

ROTHSCHILD CONTINUATION HOLDINGS AG

SHAREHOLDER, COMMON VOTING

yes

12/1995

Mar 28, 2012

Jul 6, 2012

ROTHSCHILD HOLDINGS AG

PARENT OF APPLICANT

yes

07/2011

Mar 28, 2012

Jul 6, 2012

BARRETT, MARY, FRANCINE

CHIEF COMPLIANCE OFFICER

03/2012

Mar 28, 2012

Jul 6, 2012

CAPEL-CURE, HUGO

HEAD OF INVESTMENT MANAGEMENT

03/2012

Mar 28, 2012

Jul 6, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROTHSCHILD WEALTH MANAGEMENT (UK) LTD.

n/a

Mixed wealth

$28B

n/a

City

State

Country

Employees

Also broker-dealer

London

n/a

United Kingdom

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Jul 6, 2012

$1.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$1.9M

n/a