DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•••• A••••••• A••••••• L•••

No RAUM reportedZuerich, CRD 152531SEC 801-71175IAPD
Latest filing Jun 30, 2026
First filing on the tape Apr 23, 2012 · 31 filings
SEC status approved since Mar 8, 2010
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$0 as of Jun 30, 2026
Aug 27, 2012$44.2M then
HNW client RAUM$44.7M as of Apr 16, 2024
Jun 25, 2018$35.5M then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Jul 9, 20132 then
Employees (5.A)3 as of Jun 30, 2026
Jul 9, 20132 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Jun 30, 2026; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-2.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-10%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
    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
      • H••••• T••••• · Chief Compliance Officercontrol
        since 11/2022 · owns less than 5%
      • H•••••• O•••• E• · Ceocontrol
        since 12/2009 · owns less than 5%
      • B••••••• C•••••• · Ownercontrol
        since 09/2017 · owns 75% or more of B•• H•••••• A•
      Entity owners
      • A••••• G•••• · Shareholder
        direct · owns 75% or more
      • B•• H•••••• A• · Owner
        indirect · owns 75% or more of A••••• G••••
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list S•••• A••••••• A••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • State-registered IARs · 1 to 0
        Aug 4, 2025 to Jun 30, 2026
      • Accounts · 36 to 0
        Apr 16, 2024 to Aug 4, 2025
      • Advisory activities · 2 to 1
        Apr 16, 2024 to Aug 4, 2025
      • HNW clients · 16.0 to unset
        Apr 16, 2024 to Aug 4, 2025
      • Individual clients · 20.0 to unset
        Apr 16, 2024 to Aug 4, 2025
      • Employees · 1 to 3
        Apr 16, 2024 to Aug 4, 2025
      • Financial planning clients · unset to
        Apr 16, 2024 to Aug 4, 2025
      • HQ state · unset to
        Apr 16, 2024 to Aug 4, 2025
      • Discretionary RAUM · $17.7M to $0
        Apr 16, 2024 to Aug 4, 2025
      • HNW RAUM · 44677496.0 to unset
        Apr 16, 2024 to Aug 4, 2025
      • Individual RAUM · 8533118.0 to unset
        Apr 16, 2024 to Aug 4, 2025
      • Non-discretionary RAUM · $35.5M to $0
        Apr 16, 2024 to Aug 4, 2025
      • RAUM · $53.2M to $0
        Apr 16, 2024 to Aug 4, 2025
      • Accounts · 40 to 36
        Oct 5, 2023 to Apr 16, 2024
      • HNW clients · 18 to 16
        Oct 5, 2023 to Apr 16, 2024
      • Individual clients · 22 to 20
        Oct 5, 2023 to Apr 16, 2024
      • Discretionary RAUM · $18.0M to $17.7M
        Oct 5, 2023 to Apr 16, 2024
      • HNW RAUM · $45.3M to $44.7M
        Oct 5, 2023 to Apr 16, 2024
      • Individual RAUM · $9.0M to $8.5M
        Oct 5, 2023 to Apr 16, 2024
      • Non-discretionary RAUM · $36.3M to $35.5M
        Oct 5, 2023 to Apr 16, 2024
      • RAUM · $54.3M to $53.2M
        Oct 5, 2023 to Apr 16, 2024
      • Accounts · 44 to 40
        Dec 8, 2022 to May 26, 2023
      • Individual clients · 23 to 22
        Dec 8, 2022 to May 26, 2023
      • Discretionary RAUM · $26.3M to $18.0M
        Dec 8, 2022 to May 26, 2023
      • HNW RAUM · $46.3M to $45.3M
        Dec 8, 2022 to May 26, 2023
      • Individual RAUM · $9.8M to $9.0M
        Dec 8, 2022 to May 26, 2023
      • Non-discretionary RAUM · $33.9M to $36.3M
        Dec 8, 2022 to May 26, 2023
      • RAUM · $60.2M to $54.3M
        Dec 8, 2022 to May 26, 2023
      • Accounts · 47 to 44
        May 18, 2021 to Apr 21, 2022
      • HNW clients · 19 to 18
        May 18, 2021 to Apr 21, 2022
      • Individual clients · 28 to 23
        May 18, 2021 to Apr 21, 2022
      • Discretionary RAUM · $28.7M to $26.3M
        May 18, 2021 to Apr 21, 2022
      • HNW RAUM · $46.5M to $46.3M
        May 18, 2021 to Apr 21, 2022
      • Individual RAUM · $13.2M to $9.8M
        May 18, 2021 to Apr 21, 2022
      • Non-discretionary RAUM · $31.0M to $33.9M
        May 18, 2021 to Apr 21, 2022
      • RAUM · $59.7M to $60.2M
        May 18, 2021 to Apr 21, 2022
      • HNW clients · 6 to 19
        Jun 16, 2020 to May 18, 2021
      • Individual clients · 40 to 28
        Jun 16, 2020 to May 18, 2021
      • Discretionary RAUM · $25.3M to $28.7M
        Jun 16, 2020 to May 18, 2021
      • HNW RAUM · $19.1M to $46.5M
        Jun 16, 2020 to May 18, 2021
      Signals
      4 dated events
      • T••••• H•••• (Chief Compliance Officer) appeared on Schedule A of S•••• A••••••• A••••••• L•••
        Dec 8, 2022 · Control person joined · fact
      • N•••• M•••• G••••• (Owner) no longer on Schedule A of S•••• A••••••• A••••••• L••• (listed 2019-07-16, absent 2020-06-16)
        Jun 16, 2020 · Control person left · inference
      • Yves B•••••• (Owner) no longer on Schedule A of S•••• A••••••• A••••••• L••• (listed 2019-06-07, absent 2019-07-16)
        Jul 16, 2019 · Control person left · inference
      • D••••• M•••• (Board Of Directors) no longer on Schedule A of S•••• A••••••• A••••••• L••• (listed 2018-06-25, absent 2019-01-31)
        Jan 31, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      41 43 888 6425reportedpublic record, Form ADV, Jun 30, 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
      No RAUM reportedderiveda 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