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Former SEC-registered adviser

S•••• I••••••• G••••• I••••••••• G•••

Former SEC-registered adviserZurich, CRD 157727SEC 801-72706IAPD
Latest filing Jan 6, 2017
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$101M
reported, Item 5.F
Discretionary
69%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$101M as of Jan 6, 2017
Mar 30, 2012$2.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jan 6, 2017
Mar 30, 20120 then
Employees (5.A)3 as of Jan 6, 2017
Mar 28, 20135 then
Private funds: no history
RAUM -9.1% over the last fiscal year-4.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 6, 2017; every figure names its basis
RAUM per advisor
$33.6MderivedRAUM 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
$952,348derivedRAUM over accounts (5.F.2.f)
Discretionary
69%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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)
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
106reported
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
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
      • Z••••••••• D•••••• •••• · Member, Partner And Ccocontrol
        since 03/2011 · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••• A••••••• G••••• A•••• M••••••••• A•
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 93 to 106
        Mar 30, 2016 to Jan 6, 2017
      • Advisory employees · 4 to 3
        Mar 30, 2016 to Jan 6, 2017
      • Employees · 4 to 3
        Mar 30, 2016 to Jan 6, 2017
      • Discretionary RAUM · $75.3M to $69.4M
        Mar 30, 2016 to Jan 6, 2017
      • Non-discretionary RAUM · $35.7M to $31.6M
        Mar 30, 2016 to Jan 6, 2017
      • RAUM · $111M to $101M
        Mar 30, 2016 to Jan 6, 2017
      • Accounts · 92 to 93
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 5 to 4
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $62.9M to $75.3M
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $35.5M to $35.7M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $98.4M to $111M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 6 to 5
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 77 to 92
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $82.2M to $62.9M
        Mar 31, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $32.4M to $35.5M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $115M to $98.4M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 29 to 77
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 5 to 6
        Mar 28, 2013 to Mar 31, 2014
      • State-registered IARs · 2 to 3
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $43.7M to $82.2M
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $1.7M to $32.4M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $45.5M to $115M
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 3 to 29
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · 0 to 4
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 2
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.0M to $43.7M
        Mar 30, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $1.3M to $1.7M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $2.3M to $45.5M
        Mar 30, 2012 to Mar 28, 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