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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SEC-registered adviser
S•••••• S•••••
Legal name S•••••• S•••• F•••••••• A••••••• A•
Latest filing Aug 13, 2026
First filing on the tape Jan 30, 2012 · 20 filings
SEC status approved since Oct 19, 2011
RAUM
$212M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
100%
$212M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$212M as of Aug 13, 2026
Jan 30, 2012$0 then
HNW client RAUM$209M as of Aug 13, 2026
Feb 22, 2018$100M then
State-registered IARs (5.B.3)0 as of Aug 13, 2026
Jan 30, 20120 then
Employees (5.A)3 as of Aug 13, 2026
Feb 19, 20131 then
Private funds: no history
RAUM +25% over the last fiscal year+9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 13, 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
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.0%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$209M98%
- Individuals$3.2M1.5%
- Individual clients
- 8reported
- HNW clients
- 89reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 97reported
- 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
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• H••••• H•••••• · Ciocontrolsince 01/2023 · owns 25% to 50%
- L••••••• T•••••• W••••• · Chief Compliance Officer, Ceocontrolsince 03/2011 · owns 25% to 50%
- S••••••••• H••••••••• N•• · Shareholdercontrolsince 12/2012 · owns 75% or more of P•••••• C•••••• A•
Entity owners
- P•••••• C•••••• A• · Shareholderdirect · owns 5% to 10%
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
- Advisory employees · 2 to 3Feb 26, 2026 to Aug 13, 2026
- Employees · 2 to 3Feb 26, 2026 to Aug 13, 2026
- Accounts · 101 to 97Feb 20, 2025 to Feb 26, 2026
- HNW clients · 73 to 89Feb 20, 2025 to Feb 26, 2026
- Individual clients · 28 to 8Feb 20, 2025 to Feb 26, 2026
- Financial planning clients · 0 to Feb 20, 2025 to Feb 26, 2026
- Discretionary RAUM · $111M to $140MFeb 20, 2025 to Feb 26, 2026
- HNW RAUM · $158M to $209MFeb 20, 2025 to Feb 26, 2026
- Individual RAUM · $11.0M to $3.2MFeb 20, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $58.2M to $72.1MFeb 20, 2025 to Feb 26, 2026
- RAUM · $169M to $212MFeb 20, 2025 to Feb 26, 2026
- HNW clients · 77 to 73Feb 16, 2024 to Feb 20, 2025
- Individual clients · 24 to 28Feb 16, 2024 to Feb 20, 2025
- Financial planning clients · 0 to 0Feb 16, 2024 to Feb 20, 2025
- HQ state · unset to Feb 16, 2024 to Feb 20, 2025
- Discretionary RAUM · $117M to $111MFeb 16, 2024 to Feb 20, 2025
- HNW RAUM · $163M to $158MFeb 16, 2024 to Feb 20, 2025
- Individual RAUM · $24.5M to $11.0MFeb 16, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $70.7M to $58.2MFeb 16, 2024 to Feb 20, 2025
- RAUM · $188M to $169MFeb 16, 2024 to Feb 20, 2025
- Accounts · 98 to 101Mar 8, 2023 to Feb 16, 2024
- HNW clients · 74 to 77Mar 8, 2023 to Feb 16, 2024
- Discretionary RAUM · $91.3M to $117MMar 8, 2023 to Feb 16, 2024
- HNW RAUM · $151M to $163MMar 8, 2023 to Feb 16, 2024
- Individual RAUM · $9.2M to $24.5MMar 8, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $68.9M to $70.7MMar 8, 2023 to Feb 16, 2024
- RAUM · $160M to $188MMar 8, 2023 to Feb 16, 2024
- Accounts · 88 to 98Aug 17, 2022 to Mar 8, 2023
- Advisory employees · 1 to 2Aug 17, 2022 to Mar 8, 2023
- HNW clients · 66 to 74Aug 17, 2022 to Mar 8, 2023
- Individual clients · 22 to 24Aug 17, 2022 to Mar 8, 2023
- Employees · 1 to 2Aug 17, 2022 to Mar 8, 2023
- Discretionary RAUM · $86.2M to $91.3MAug 17, 2022 to Mar 8, 2023
- HNW RAUM · $145M to $151MAug 17, 2022 to Mar 8, 2023
- Individual RAUM · $6.9M to $9.2MAug 17, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $65.9M to $68.9MAug 17, 2022 to Mar 8, 2023
- RAUM · $152M to $160MAug 17, 2022 to Mar 8, 2023
- HNW clients · 67 to 66Feb 16, 2021 to Feb 24, 2022
- Individual clients · 21 to 22Feb 16, 2021 to Feb 24, 2022
- Discretionary RAUM · $81.6M to $86.2MFeb 16, 2021 to Feb 24, 2022
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.
How to reach
public business contact points only, each with its source
- Website
- S••••••-SFA.CHreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +41 44 575 22 20reportedpublic record, Form ADV, Aug 13, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026