DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Vontobel Swiss Financial Advisers
Legal name Vontobel Swiss Financial Advisers Ag
Latest filing Sep 4, 2026
First filing on the tape Mar 30, 2012 · 50 filings
SEC status approved since Dec 3, 2004
RAUM
$12B
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
81%
$9.7B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$2.4B
derived; firm RAUM over IAPD count
Employees
105
60 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$12B as of Jul 7, 2026
Mar 30, 2012$3.8B then
HNW client RAUM$9.3B as of Jul 7, 2026
Mar 29, 2018$1.6B then
State-registered IARs (5.B.3)6 as of Jul 7, 2026
Mar 28, 20130 then
Employees (5.A)105 as of Jul 7, 2026
Mar 28, 201360 then
Private funds: no history
RAUM +29% over the last fiscal year+12% a year over threeIARs 0 to 6offices 3 to 4
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $2.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 465derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 21.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $12BreportedItem 5.I
- Custody
- $12B, 2,362 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$9.3B78%
- Corporations and businesses$2.1B17%
- Individuals$431M3.6%
- Charitable organizations$76.1M0.6%
- Individual clients
- 450reported
- HNW clients
- 1,875reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 3,488reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $12B for 2,362 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=true bd_reps=1.0 bank_owner=falsederived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joao Raul Decastro | Miami, Fl | May 13, 2025 | 20 y | 2 |
| Stephan Winfried Wessels | Zurich | Jul 31, 2025 | 23 y | 1 |
| Billy R Obregon | New York, Ny | Nov 7, 2025 | 12 y | 1 |
| Gabriel Enrique Mueller | Miami, Fl | Jun 12, 2026 | 12 y | 1 |
| Fenimore Cooper Marsh | Los Angeles, Ca | Aug 16, 2026 | 11 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Fenimore Cooper Marsh from Wellacre Global Wealth AdvisorsAug 16, 2026 · RIA to RIA
- Gabriel Enrique Mueller from Fisher InvestmentsJun 12, 2026 · RIA to RIA
- Billy R Obregon from Deutsche Bank Securities Inc.Nov 7, 2025 · RIA to RIA
- Stephan Winfried Wessels from Citigroup Global Markets Inc.Jul 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Joao Raul Decastro from Citigroup Global Markets Inc.May 13, 2025 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Martin Baumert · Chief Operating Officercontrolsince 01/2018 · owns less than 5%
- Maria-Antonella Bino · Director Of The Board Of Directorscontrolsince 10/2024 · owns less than 5%
- Daniela Diethelm · Coocontrolsince 03/2025 · owns less than 5%
- Christian Gmuender · Chairman Of The Board Of Directorscontrolsince 08/2022 · owns less than 5%
- Camille Jacqueline Hess · Directorcontrolsince 03/2023 · owns less than 5%
- Dominique Pascal Koeppel · Ciocontrolsince 10/2005 · owns less than 5%
- R Billy Obregon · Ceocontrolsince 03/2025 · owns less than 5%
- Natalie Peter · Director Of The Board Of Directorscontrolsince 03/2023 · owns less than 5%
- Peter Romanzina · Director Of The Board Of Directorscontrolsince 07/2025 · owns less than 5%
- Roger Scherer · Chief Integration Officercontrolsince 03/2023 · owns less than 5%
- Ara Alexandria Schindler · Interim Head Legal & Compliance, Interim Ccocontrolsince 01/2024 · owns less than 5%
- Christian Stambach · Director Of The Board Of Directorscontrolsince 06/2019 · owns less than 5%
- Arturo Stoeklin · Management Committee Membercontrolsince 04/2024 · owns less than 5%
- Max Roger Tobler · Head Financecontrolsince 12/2019 · owns less than 5%
- Andreas Werner Marcel Delannay · Chief Compliance Officersince 08/2026 · owns less than 5%
Entity owners
- Vontobel Holding Ag · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL7 employees
- New York City, NY4 employees
ADV anomalies
9 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Sep 4, 2026employees per registered advisor of 21.0 against a peer median of 1.9 (241 comparable advisers, 99.0th percentile, 24.7 robust deviations)peers: independent wealth managers, $5B to $20B (241) · 99% percentile
- high office count relative to headcountStatic outlier · filing Sep 4, 2026offices per registered advisor of 1.0 against a peer median of 0.3 (171 comparable advisers, 99.0th percentile, 4.4 robust deviations)peers: independent wealth managers, $5B to $20B (171) · 99% percentile
- control person changedChange between filings · filing Sep 4, 2026OBREGON, BILLY, R (CEO) appeared on Schedule A between the filings of 2024-10-03 and 2026-09-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Sep 4, 2026DIETHELM, DANIELA (COO) appeared on Schedule A between the filings of 2024-10-03 and 2026-09-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Sep 4, 2026SCHINDLER, ALEXANDRIA, ARA (INTERIM HEAD LEGAL & COMPLIANCE, INTERIM CCO) left Schedule A between the filings of 2024-10-03 and 2026-09-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Sep 4, 2026Scherer, Roger (CHIEF INTEGRATION OFFICER) left Schedule A between the filings of 2024-10-03 and 2026-09-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Sep 4, 2026Baumert, Martin (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-10-03 and 2026-09-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Sep 4, 2026Tobler, Roger, Max (HEAD FINANCE) left Schedule A between the filings of 2024-10-03 and 2026-09-04peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Sep 4, 2026HESS, JACQUELINE, CAMILLE (DIRECTOR) left Schedule A between the filings of 2024-10-03 and 2026-09-04peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 7, 2026 to Sep 4, 2026
- HQ state · to unsetJul 7, 2026 to Sep 4, 2026
- Succession · false to unsetJul 7, 2026 to Sep 4, 2026
- Other offices · 3 to 4Mar 31, 2026 to Jul 7, 2026
- Accounts · 3,234 to 3,488Aug 1, 2025 to Mar 31, 2026
- Advisory employees · 78 to 60Aug 1, 2025 to Mar 31, 2026
- Advisory activities · 2 to 1Aug 1, 2025 to Mar 31, 2026
- BD registered reps · 0 to 1Aug 1, 2025 to Mar 31, 2026
- Charity clients · 4 to 6Aug 1, 2025 to Mar 31, 2026
- Corporate clients · 204 to 238Aug 1, 2025 to Mar 31, 2026
- HNW clients · 1,599 to 1,875Aug 1, 2025 to Mar 31, 2026
- Individual clients · 550 to 450Aug 1, 2025 to Mar 31, 2026
- Assets in custody · $8.5B to $12BAug 1, 2025 to Mar 31, 2026
- Employees · 100 to 105Aug 1, 2025 to Mar 31, 2026
- State-registered IARs · 0 to 6Aug 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.0B to $5.4BAug 1, 2025 to Mar 31, 2026
- HNW RAUM · $7.0B to $9.3BAug 1, 2025 to Mar 31, 2026
- Individual RAUM · $432M to $431MAug 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $5.3B to $6.6BAug 1, 2025 to Mar 31, 2026
- RAUM · $9.3B to $12BAug 1, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 29, 2025
- Accounts · 3,190 to 3,234Mar 5, 2025 to Mar 31, 2025
- Advisory employees · 84 to 78Mar 5, 2025 to Mar 31, 2025
- Advisory activities · 4 to 2Mar 5, 2025 to Mar 31, 2025
- Corporate clients · 178 to 204Mar 5, 2025 to Mar 31, 2025
- HNW clients · 1,567 to 1,599Mar 5, 2025 to Mar 31, 2025
- Individual clients · 590 to 550Mar 5, 2025 to Mar 31, 2025
- Assets in custody · $5.6B to $8.5BMar 5, 2025 to Mar 31, 2025
- Employees · 108 to 100Mar 5, 2025 to Mar 31, 2025
- Discretionary RAUM · $3.8B to $4.0BMar 5, 2025 to Mar 31, 2025
- HNW RAUM · $6.8B to $7.0BMar 5, 2025 to Mar 31, 2025
- Individual RAUM · $453M to $432MMar 5, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $5.2B to $5.3BMar 5, 2025 to Mar 31, 2025
- RAUM · $9.0B to $9.3BMar 5, 2025 to Mar 31, 2025
- Related bank · false to trueMar 5, 2025 to Mar 31, 2025
- HQ state · unset to Oct 3, 2024 to Mar 5, 2025
- Accounts · 3,218 to 3,190Jan 4, 2024 to Mar 29, 2024
- Advisory employees · 72 to 84Jan 4, 2024 to Mar 29, 2024
- Corporate clients · 185 to 178Jan 4, 2024 to Mar 29, 2024
- HNW clients · 1,556 to 1,567Jan 4, 2024 to Mar 29, 2024
Signals
25 dated events
- Vontobel Swiss Financial Advisers reported RAUM $11.9B, up 29% from $9.3B (2025-08-01 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Maria-Antonella Bino (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersOct 3, 2024 · Control person joined · fact
- Georg Schubiger (Director) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2024-05-13, absent 2024-07-26)Jul 26, 2024 · Control person left · inference
- Arturo Stoeklin (Management Committee Member) appeared on Schedule A of Vontobel Swiss Financial AdvisersMay 13, 2024 · Control person joined · fact
- Andre Bantli (Director) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2023-03-29, absent 2024-01-03)Jan 3, 2024 · Control person left · inference
- Luigi Francesco Bianchi (Chief Compliance Officer, Head Legal) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2023-03-29, absent 2024-01-03)Jan 3, 2024 · Control person left · inference
- Ara Alexandria Schindler (Head Legal & Compliance, Cco) appeared on Schedule A of Vontobel Swiss Financial AdvisersJan 3, 2024 · Control person joined · fact
- Peter Romanzina (Chief Executive Officer) appeared on Schedule A of Vontobel Swiss Financial AdvisersMar 29, 2023 · Control person joined · fact
- Roger Scherer (Chief Integration Officer) appeared on Schedule A of Vontobel Swiss Financial AdvisersMar 29, 2023 · Control person joined · fact
- Natalie Peter (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersMar 29, 2023 · Control person joined · fact
- Camille Jacqueline Hess (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersMar 29, 2023 · Control person joined · fact
- Theodore Haertsch (Director) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2022-08-01, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Hendrik Geldenhuys (Director) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2022-03-31, absent 2022-08-01)Aug 1, 2022 · Control person left · inference
- Andre Bantli (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersAug 1, 2022 · Control person joined · fact
- Georg Schubiger (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersAug 1, 2022 · Control person joined · fact
- Christian Gmuender (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersAug 1, 2022 · Control person joined · fact
- Luigi Francesco Bianchi (Chief Compliance Officer, Head Legal) appeared on Schedule A of Vontobel Swiss Financial AdvisersAug 1, 2022 · Control person joined · fact
- Max Roger Tobler (Head Finance) appeared on Schedule A of Vontobel Swiss Financial AdvisersMar 26, 2020 · Control person joined · fact
- Beat Wolfer (Head Finance) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2019-07-19, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Max Christoph Pestalozzi (Director) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2019-03-21, absent 2019-07-19)Jul 19, 2019 · Control person left · inference
- Ramon Gabriel Castello Taliani (Chairman/Director) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2019-03-21, absent 2019-07-19)Jul 19, 2019 · Control person left · inference
- Hendrik Geldenhuys (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersJul 19, 2019 · Control person joined · fact
- Christian Stambach (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersJul 19, 2019 · Control person joined · fact
- Eric Stupp (Director) no longer on Schedule A of Vontobel Swiss Financial Advisers (listed 2018-04-19, absent 2019-02-05)Feb 5, 2019 · Control person left · inference
- Theodore Haertsch (Director) appeared on Schedule A of Vontobel Swiss Financial AdvisersFeb 5, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- UBS Swiss Financial Advisers · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 855-853-4288reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/vontobelreportedpublic record, Form ADV, Sep 17, 2026
- Website
- VONTOBELSFA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- +41-58-2388111reportedpublic record, Form ADV, Sep 4, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $2.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026