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
L••••••••• S•••• W••••• A••••••• A•
Latest filing Mar 10, 2026
First filing on the tape Jun 26, 2012 · 26 filings
SEC status approved since Jul 6, 2012
RAUM
$40.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$40.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$40.4M as of Mar 10, 2026
Feb 1, 2013$11.6M then
HNW client RAUM$40.4M as of Mar 10, 2026
Feb 16, 2018$15.3M then
State-registered IARs (5.B.3)0 as of Mar 10, 2026
Feb 1, 20130 then
Employees (5.A)2 as of Mar 10, 2026
Feb 1, 20134 then
Private funds: no history
RAUM -8.0% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 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
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- -8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$40.4M100%
- Individual clients
- 0reported
- HNW clients
- 23reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- B••••••••• M•••• P•••••• · Chief Financial Officer And Ownercontrolsince 06/2012 · owns 75% or more
- F•••••• V••• · Chief Compliance Officer & Chief Executive Officercontrolsince 04/2022 · owns less than 5%
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 · 37 to 23Feb 25, 2025 to Mar 10, 2026
- HNW clients · 26 to 23Feb 25, 2025 to Mar 10, 2026
- Discretionary RAUM · $43.9M to $40.4MFeb 25, 2025 to Mar 10, 2026
- HNW RAUM · $43.9M to $40.4MFeb 25, 2025 to Mar 10, 2026
- RAUM · $43.9M to $40.4MFeb 25, 2025 to Mar 10, 2026
- Accounts · 36 to 37Mar 5, 2024 to Feb 25, 2025
- HNW clients · 25 to 26Mar 5, 2024 to Feb 25, 2025
- Financial planning clients · unset to Mar 5, 2024 to Feb 25, 2025
- HQ state · unset to Mar 5, 2024 to Feb 25, 2025
- Discretionary RAUM · $52.8M to $43.9MMar 5, 2024 to Feb 25, 2025
- HNW RAUM · $52.8M to $43.9MMar 5, 2024 to Feb 25, 2025
- RAUM · $52.8M to $43.9MMar 5, 2024 to Feb 25, 2025
- Accounts · 33 to 36Feb 16, 2023 to Mar 5, 2024
- HNW clients · 21 to 25Feb 16, 2023 to Mar 5, 2024
- Discretionary RAUM · $20.4M to $52.8MFeb 16, 2023 to Mar 5, 2024
- HNW RAUM · $20.4M to $52.8MFeb 16, 2023 to Mar 5, 2024
- RAUM · $20.4M to $52.8MFeb 16, 2023 to Mar 5, 2024
- Accounts · 31 to 33Nov 29, 2022 to Feb 16, 2023
- HNW clients · 19 to 21Nov 29, 2022 to Feb 16, 2023
- Discretionary RAUM · $25.5M to $20.4MNov 29, 2022 to Feb 16, 2023
- HNW RAUM · $25.5M to $20.4MNov 29, 2022 to Feb 16, 2023
- RAUM · $25.5M to $20.4MNov 29, 2022 to Feb 16, 2023
- Accounts · 19 to 31Feb 1, 2021 to Mar 28, 2022
- Discretionary RAUM · $24.7M to $25.5MFeb 1, 2021 to Mar 28, 2022
- HNW RAUM · $24.7M to $25.5MFeb 1, 2021 to Mar 28, 2022
- RAUM · $24.7M to $25.5MFeb 1, 2021 to Mar 28, 2022
- Accounts · 21 to 19Jun 24, 2020 to Feb 1, 2021
- HNW clients · 21 to 19Jun 24, 2020 to Feb 1, 2021
- Discretionary RAUM · $14.0M to $24.7MJun 24, 2020 to Feb 1, 2021
- HNW RAUM · $14.0M to $24.7MJun 24, 2020 to Feb 1, 2021
- RAUM · $14.0M to $24.7MJun 24, 2020 to Feb 1, 2021
- Accounts · 25 to 21Jan 23, 2019 to Feb 5, 2020
- HNW clients · 25 to 21Jan 23, 2019 to Feb 5, 2020
- Discretionary RAUM · $11.3M to $14.0MJan 23, 2019 to Feb 5, 2020
- HNW RAUM · $11.3M to $14.0MJan 23, 2019 to Feb 5, 2020
- RAUM · $11.3M to $14.0MJan 23, 2019 to Feb 5, 2020
- Accounts · 32 to 25Feb 16, 2018 to Jan 23, 2019
- HNW clients · 29 to 25Feb 16, 2018 to Jan 23, 2019
- Individual clients · 3 to 0Feb 16, 2018 to Jan 23, 2019
- Discretionary RAUM · $15.7M to $11.3MFeb 16, 2018 to Jan 23, 2019
Signals
3 dated events
- V••• F••••• (Chief Compliance Officer & Chief Executive Officer) appeared on Schedule A of L••••••••• S•••• W••••• A••••••• A•May 6, 2022 · Control person joined · fact
- Pascal Rytz (Chief Investment Officer; Deputy Chief Executive Officer; And Owner) no longer on Schedule A of L••••••••• S•••• W••••• A••••••• A• (listed 2021-02-01, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- L••••••••• S•••• W••••• A••••••• A• filed its initial SEC registration (Form ADV)Jun 26, 2012 · First SEC registration · fact
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
- l•••••••••.chreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +41-41-511-39-05reportedpublic record, Form ADV, Mar 10, 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