DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E•• F•••••••• A•••••••
Legal name E•• F•••••••• A••••••• A•
Latest filing May 18, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Oct 25, 2010
RAUM
$499M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$499M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$499M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$499M as of May 18, 2026
Mar 28, 2012$227M then
HNW client RAUM$473M as of May 18, 2026
Feb 8, 2018$240M then
State-registered IARs (5.B.3)1 as of May 18, 2026
Mar 28, 20120 then
Employees (5.A)4 as of May 18, 2026
Mar 4, 20135 then
Private funds: no history
RAUM +25% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $499MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%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
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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$473M95%
- Individuals$25.8M5.2%
- Individual clients
- 42reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 124reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• P••••• | Zurich | Mar 28, 2012 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••• S••••• · Chief Executive Officercontrolsince 09/2010 · owns 25% to 50%
- M••••• G•••• · Chief Financial Officer / Managing Directorcontrolsince 09/2010 · owns 25% to 50%
- P•••••• D••• · Managing Director / Chief Compliance Officercontrolsince 09/2010 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 121 to 124Mar 24, 2025 to Mar 9, 2026
- HNW clients · 75 to 82Mar 24, 2025 to Mar 9, 2026
- Individual clients · 46 to 42Mar 24, 2025 to Mar 9, 2026
- Discretionary RAUM · $326M to $413MMar 24, 2025 to Mar 9, 2026
- HNW RAUM · $376M to $473MMar 24, 2025 to Mar 9, 2026
- Individual RAUM · $24.5M to $25.8MMar 24, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $74.3M to $86.2MMar 24, 2025 to Mar 9, 2026
- RAUM · $400M to $499MMar 24, 2025 to Mar 9, 2026
- Accounts · 123 to 121Mar 18, 2024 to Mar 24, 2025
- HNW clients · 72 to 75Mar 18, 2024 to Mar 24, 2025
- Individual clients · 51 to 46Mar 18, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 24, 2025
- HQ state · unset to Mar 18, 2024 to Mar 24, 2025
- Discretionary RAUM · $316M to $326MMar 18, 2024 to Mar 24, 2025
- HNW RAUM · $350M to $376MMar 18, 2024 to Mar 24, 2025
- Individual RAUM · $24.6M to $24.5MMar 18, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $58.5M to $74.3MMar 18, 2024 to Mar 24, 2025
- RAUM · $374M to $400MMar 18, 2024 to Mar 24, 2025
- Accounts · 120 to 123Jun 29, 2023 to Mar 18, 2024
- HNW clients · 63 to 72Jun 29, 2023 to Mar 18, 2024
- Individual clients · 57 to 51Jun 29, 2023 to Mar 18, 2024
- Employees · 5 to 4Jun 29, 2023 to Mar 18, 2024
- Discretionary RAUM · $279M to $316MJun 29, 2023 to Mar 18, 2024
- HNW RAUM · $297M to $350MJun 29, 2023 to Mar 18, 2024
- Individual RAUM · $30.1M to $24.6MJun 29, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $48.0M to $58.5MJun 29, 2023 to Mar 18, 2024
- RAUM · $327M to $374MJun 29, 2023 to Mar 18, 2024
- Accounts · 124 to 120Oct 27, 2022 to Mar 16, 2023
- Advisory employees · 4 to 3Oct 27, 2022 to Mar 16, 2023
- HNW clients · 73 to 63Oct 27, 2022 to Mar 16, 2023
- Individual clients · 51 to 57Oct 27, 2022 to Mar 16, 2023
- Discretionary RAUM · $349M to $279MOct 27, 2022 to Mar 16, 2023
- HNW RAUM · $362M to $297MOct 27, 2022 to Mar 16, 2023
- Individual RAUM · $26.8M to $30.1MOct 27, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $40.2M to $48.0MOct 27, 2022 to Mar 16, 2023
- RAUM · $389M to $327MOct 27, 2022 to Mar 16, 2023
- Accounts · 123 to 124Mar 3, 2021 to Mar 22, 2022
- HNW clients · 70 to 73Mar 3, 2021 to Mar 22, 2022
- Individual clients · 53 to 51Mar 3, 2021 to Mar 22, 2022
- Discretionary RAUM · $317M to $349MMar 3, 2021 to Mar 22, 2022
Signals
1 dated events
- Peter Brummer (Chief Compliance Officer) no longer on Schedule A of E•• F•••••••• A••••••• (listed 2022-10-27, absent 2023-03-16)Mar 16, 2023 · 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
- Business email
- i•••@e••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- f•••••••••@e••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- g•••••••••@e••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••••••••@e••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.e••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- +41 44 204 20 50reportedpublic record, Form ADV, May 18, 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
- $499Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026