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Former SEC-registered adviser

C••••• S••••• P•••••• A•••••••

Former SEC-registered adviserZurich, CRD 112892SEC 801-60767IAPD
Legal name C••••• S••••• P•••••• A••••••• A•
Latest filing Jun 11, 2012
First filing on the tape Dec 14, 2011 · 4 filings
RAUM
$461M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$461M as of Jun 11, 2012
Dec 14, 2011$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 11, 2012
Dec 14, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 11, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
157reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••• E•••• N•• · Directorcontrol
      since 03/2009 · owns less than 5%
    • I•••••• R•••••• N•• · Ceocontrol
      since 03/2001 · owns less than 5%
    • K•••••••• I•• N•• · Chief Investment Officercontrol
      since 05/2001 · owns less than 5%
    • O•••••• L••••• J• · Chief Compliance Officercontrol
      since 12/2011 · owns less than 5%
    • S•••••••• P•••• O••• · Directorcontrol
      since 01/2011 · owns less than 5%
    • B•••••• S••••• C••••••••• · Financial & Operations Principal
      since 11/2007 · owns less than 5%
    • L••••••• F•••• T••••• · Corporate Secretary
      since 06/2010 · owns less than 5%
    Entity owners
    • C••••• S••••• A• · 100% Owner
      direct · owns 75% or more
    • C••••• S••••• G•••• A• · Shareholder
      indirect · owns 75% or more of C••••• S•••••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 870 to 157
      Dec 14, 2011 to Mar 30, 2012
    • Assets in custody · unset to 2355917963.0
      Dec 14, 2011 to Mar 30, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 14, 2011 to Mar 30, 2012
    • Discretionary RAUM · $606M to $461M
      Dec 14, 2011 to Mar 30, 2012
    • Non-discretionary RAUM · $1.7B to $0
      Dec 14, 2011 to Mar 30, 2012
    • RAUM · $2.3B to $461M
      Dec 14, 2011 to Mar 30, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026