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.

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Former SEC-registered adviser

P••••••• W••••• M••••••••• A•

Former SEC-registered adviserPfaffikon Schwyz, CRD 153149SEC 801-71351IAPD
Latest filing Nov 9, 2016
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$261M
reported, Item 5.F
Discretionary
78%
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$261M as of Mar 1, 2016
Mar 30, 2012$214M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 1, 2016
Mar 30, 20120 then
Employees (5.A)5 as of Mar 1, 2016
Mar 25, 20136 then
Private funds: no history
RAUM -29% over the last fiscal year-8.5% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Nov 9, 2016; every figure names its basis
RAUM per advisor
$131MderivedRAUM 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
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-29%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
67reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• P••••• A••••• · Chief Operating Officer & Chief Compliance Officercontrol
        since 11/2016 · owns less than 5%
      • R••••••• Y••• · Chief Executive Officercontrol
        since 08/2009 · owns less than 5%
      Entity owners
      • R•••• M••••••••• C•••••• L•• · Shareholder
        direct · owns 75% or more
      • B•••••••• T•••• · Shareholder
        indirect · owns 25% to 50% of R•••• M••••••••• C•••••• L••
      • D•••••• T•••• · Shareholder
        indirect · owns 50% to 75% of R•••• M••••••••• C•••••• L••
      • W••••••••• T•••• L•••••• · Trustee
        indirect · owns 75% or more of B•••••••• T••••
      • W••••••••• T•••• L•••••• · Trustee
        indirect · owns 75% or more of D•••••• T••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Zurich, Switzerland
      What changed
      consecutive filings, newest first
      • Accounts · 86 to 67
        Mar 17, 2015 to Mar 1, 2016
      • Advisory employees · 3 to 2
        Mar 17, 2015 to Mar 1, 2016
      • Employees · 6 to 5
        Mar 17, 2015 to Mar 1, 2016
      • State-registered IARs · 3 to 2
        Mar 17, 2015 to Mar 1, 2016
      • Discretionary RAUM · $228M to $205M
        Mar 17, 2015 to Mar 1, 2016
      • Non-discretionary RAUM · $140M to $56.6M
        Mar 17, 2015 to Mar 1, 2016
      • RAUM · $367M to $261M
        Mar 17, 2015 to Mar 1, 2016
      • Accounts · 99 to 86
        Dec 22, 2014 to Mar 17, 2015
      • Discretionary RAUM · $238M to $228M
        Dec 22, 2014 to Mar 17, 2015
      • Non-discretionary RAUM · $151M to $140M
        Dec 22, 2014 to Mar 17, 2015
      • RAUM · $389M to $367M
        Dec 22, 2014 to Mar 17, 2015
      • Business name · M••••• P•••••• W••••• A••• to P••••••• W••••• M••••••••• A•
        Jun 20, 2014 to Dec 22, 2014
      • Legal name · M••••• P•••••• W••••• A••• to P••••••• W••••• M••••••••• A•
        Jun 20, 2014 to Dec 22, 2014
      • Accounts · 92 to 99
        Mar 25, 2013 to Mar 27, 2014
      • Discretionary RAUM · $235M to $238M
        Mar 25, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $106M to $151M
        Mar 25, 2013 to Mar 27, 2014
      • RAUM · $341M to $389M
        Mar 25, 2013 to Mar 27, 2014
      • Accounts · 78 to 92
        Mar 30, 2012 to Mar 25, 2013
      • Advisory employees · unset to 3.0
        Mar 30, 2012 to Mar 25, 2013
      • Business name · M••••• P•••••• W••••• S••• to M••••• P•••••• W••••• A•••
        Mar 30, 2012 to Mar 25, 2013
      • Employees · unset to 6.0
        Mar 30, 2012 to Mar 25, 2013
      • State-registered IARs · 0 to 3
        Mar 30, 2012 to Mar 25, 2013
      • Legal name · M••••• P•••••• W••••• S••• to M••••• P•••••• W••••• A•••
        Mar 30, 2012 to Mar 25, 2013
      • Discretionary RAUM · $66.4M to $235M
        Mar 30, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $148M to $106M
        Mar 30, 2012 to Mar 25, 2013
      • RAUM · $214M to $341M
        Mar 30, 2012 to Mar 25, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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