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
B••••••••• I•••••••••
Legal name B••••••••• I••••••••• A•
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Jul 11, 2011
RAUM
$2.0B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
31%
$604M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$490M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$2.0B as of Mar 25, 2026
Mar 30, 2012$3.2M then
HNW client RAUM$584M as of Mar 25, 2026
Mar 8, 2018$157M then
State-registered IARs (5.B.3)5 as of Mar 25, 2026
Mar 30, 20120 then
Employees (5.A)18 as of Mar 25, 2026
Mar 12, 20135 then
Private funds1 as of Mar 25, 2026
Mar 17, 20201 then
RAUM +12% over the last fiscal year+16% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- $490MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $5.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 5.G
- Custody
- $68.0M, 48 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$611M47%
- High-net-worth individuals$584M45%
- Pooled investment vehicles$68.0M5.2%
- Individuals$20.2M1.6%
- Insurance companies$16.2M1.2%
- Pension and profit-sharing plans$5.7M0.4%
- Individual clients
- 45reported
- HNW clients
- 112reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 359reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $68.0M for 48 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.31 fund_share=0.03 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• N•• E••••• | Zurich | Aug 31, 2011 | 15 y | 0 |
| C••••• M•••••• C•••••Chartered Financial Analyst | Zurich | Mar 5, 2013 | 38 y | 0 |
| J••••• R••• V•••••Certified Financial Planner | Zurich | Sep 6, 2024 | 20 y | 0 |
| I••• S•••••••Certified Financial Planner | Zurich | Dec 16, 2025 | 9 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• C••• E••••• E•••• M••••• F••• L••• | Hedge Fund | $68.0M | 1 | Mar 17, 2020 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• C•••••• M•••••• · Senior Advisor And Board Membercontrolsince 01/2014 · owns less than 5%
- E•••••• M•••••• N•• · Chairman Of The Boardcontrolsince 06/2011 · owns less than 5%
- F•••• T•••••• A••••• · Chief Executive Officercontrolsince 07/2024 · owns less than 5%
- F•••••• E••••••• B••••• R••••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- B•••• B•••• N•• · Directorcontrolsince 10/2011 · owns 25% to 50% of B••••••••• H•••••• A•
- E••••••••• B••••••• · Portfolio Managersince 05/2018 · owns less than 5%
- K••••••• P••••• · Senior Advisor Officersince 05/2018 · owns less than 5%
- S•••••••• J••••••• W••••• · Senior Advisor Managersince 06/2017 · owns less than 5%
- V•••••• J•••••• R••• · Senior Advisor And Deputy Ceosince 05/2012 · owns less than 5%
Entity owners
- B••••••••• H•••••• A• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••••••• A•investment advisern
- B••••••••• U• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 25, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $1,755,715,712 to $1,960,886,210, advisors 6 to 5, private clients 198 to 157, offices 0 to 0 (2025-03-14 to 2026-03-25)peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 25, 2026B•••• B•••• N•• (DIRECTOR) left Schedule A between the filings of 2024-10-03 and 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 25, 2026F•••••• E••••••• B••••• R••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-10-03 and 2026-03-25peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 335 to 359Nov 18, 2025 to Mar 25, 2026
- Advisory activities · 3 to 4Nov 18, 2025 to Mar 25, 2026
- Corporate clients · 56 to 48Nov 18, 2025 to Mar 25, 2026
- HNW clients · 106 to 112Nov 18, 2025 to Mar 25, 2026
- Individual clients · 92 to 45Nov 18, 2025 to Mar 25, 2026
- Pooled vehicle clients · 0 to 1Nov 18, 2025 to Mar 25, 2026
- Assets in custody · $67.0M to $68.0MNov 18, 2025 to Mar 25, 2026
- State-registered IARs · 6 to 5Nov 18, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.6B to $1.8BNov 18, 2025 to Mar 25, 2026
- HNW RAUM · $498M to $584MNov 18, 2025 to Mar 25, 2026
- Individual RAUM · $34.0M to $20.2MNov 18, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $153M to $172MNov 18, 2025 to Mar 25, 2026
- Pension RAUM · $5.2M to $5.7MNov 18, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $0 to $68.0MNov 18, 2025 to Mar 25, 2026
- RAUM · $1.8B to $2.0BNov 18, 2025 to Mar 25, 2026
- Assets in custody · unset to 67032193.0Jul 16, 2025 to Nov 18, 2025
- Custody of client assets · false to trueJul 16, 2025 to Nov 18, 2025
- Financial planning clients · unset to Mar 14, 2025 to Jul 16, 2025
- Accounts · 349 to 335Oct 3, 2024 to Mar 14, 2025
- Advisory employees · 9 to 11Oct 3, 2024 to Mar 14, 2025
- Charity clients · unset to 0.0Oct 3, 2024 to Mar 14, 2025
- Corporate clients · 40 to 56Oct 3, 2024 to Mar 14, 2025
- HNW clients · 91 to 106Oct 3, 2024 to Mar 14, 2025
- Individual clients · 76 to 92Oct 3, 2024 to Mar 14, 2025
- Pension plan clients · unset to 1.0Oct 3, 2024 to Mar 14, 2025
- Employees · 15 to 18Oct 3, 2024 to Mar 14, 2025
- HQ state · unset to Oct 3, 2024 to Mar 14, 2025
- Discretionary RAUM · $1.5B to $1.6BOct 3, 2024 to Mar 14, 2025
- HNW RAUM · $473M to $498MOct 3, 2024 to Mar 14, 2025
- Individual RAUM · $37.5M to $34.0MOct 3, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $134M to $153MOct 3, 2024 to Mar 14, 2025
- Pension RAUM · $7.0M to $5.2MOct 3, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · unset to 0.0Oct 3, 2024 to Mar 14, 2025
- RAUM · $1.6B to $1.8BOct 3, 2024 to Mar 14, 2025
- Accounts · 345 to 349Mar 28, 2023 to Mar 19, 2024
- Advisory employees · 8 to 9Mar 28, 2023 to Mar 19, 2024
- Corporate clients · 48 to 40Mar 28, 2023 to Mar 19, 2024
- HNW clients · 94 to 91Mar 28, 2023 to Mar 19, 2024
- Individual clients · 109 to 76Mar 28, 2023 to Mar 19, 2024
- Employees · 13 to 15Mar 28, 2023 to Mar 19, 2024
Signals
8 dated events
- Valentina Schwarz (Chief Compliance Officer) no longer on Schedule A of B••••••••• I••••••••• (listed 2024-03-21, absent 2024-10-03)Oct 3, 2024 · Control person left · inference
- Raquel Fonseca Elizardo Brito (Chief Compliance Officer) appeared on Schedule A of B••••••••• I•••••••••Oct 3, 2024 · Control person joined · fact
- Arthur Tobias Faes (Chief Executive Officer) appeared on Schedule A of B••••••••• I•••••••••Oct 3, 2024 · Control person joined · fact
- Valentina Schwarz (Chief Compliance Officer) appeared on Schedule A of B••••••••• I•••••••••Mar 19, 2024 · Control person joined · fact
- Walter Werner Diehl (Director) no longer on Schedule A of B••••••••• I••••••••• (listed 2023-03-28, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- Walter Michael Rosendahl (Chief Compliance Officer) no longer on Schedule A of B••••••••• I••••••••• (listed 2023-03-28, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- B••••••••• I••••••••• reported RAUM $1.6B, up 28% from $1.2B (2023-03-28 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- B••••••••• I••••••••• reported RAUM $874.8M, up 31% from $668.3M (2019-03-19 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
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
- B•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 41 44 268 11 70reportedpublic record, Form ADV, Mar 25, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $490Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026