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Former SEC-registered adviser

I••••••••• I••••••••• S•••••••• A•

Former SEC-registered adviserZurich, CRD 169224SEC 801-79023IAPD
Latest filing May 23, 2019
First filing on the tape Dec 24, 2013 · 17 filings
RAUM
$54.9M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
20%
$10.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$54.9M as of Mar 28, 2019
Mar 30, 2015$304M then
HNW client RAUM$10.8M as of Mar 28, 2019
Mar 31, 2018$11.9M then
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 30, 20150 then
Employees (5.A)9 as of Mar 28, 2019
Mar 30, 20158 then
Private funds: no history
RAUM -48% over the last fiscal year-38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 23, 2019; 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
$1.3MderivedHNW RAUM over HNW clients
Average account
$5.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
20%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
-48%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-11%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminars, otherreportedItem 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
  • Pooled investment vehicles$44.1M80%
  • High-net-worth individuals$10.8M20%
Individual clients
0reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
      • A••••• A••••••• A••••• · Director And Head Of Salescontrol
        since 11/2003 · owns 25% to 50%
      • L•••••• W••••• K• · Chief Executive Officer And Vice Chairmancontrol
        since 11/2003 · owns 50% to 75%
      • M•••••• J•••••• · Chief Compliance Officer
        since 01/2019 · owns less than 5%
      • W••••••• D•••••• A••••• · Director
        since 06/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••• A•••• M•••• L•••
        investment advisery
      • O•••• A•••• M••••••••• L•••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 10
        Mar 31, 2018 to Jan 29, 2019
      • Charity clients · 1 to 0
        Mar 31, 2018 to Jan 29, 2019
      • HNW clients · 9 to 8
        Mar 31, 2018 to Jan 29, 2019
      • Pooled vehicle clients · 4 to 2
        Mar 31, 2018 to Jan 29, 2019
      • Discretionary RAUM · $19.8M to $10.8M
        Mar 31, 2018 to Jan 29, 2019
      • HNW RAUM · $11.9M to $10.8M
        Mar 31, 2018 to Jan 29, 2019
      • Non-discretionary RAUM · $84.7M to $44.1M
        Mar 31, 2018 to Jan 29, 2019
      • Pooled vehicle RAUM · $84.7M to $44.1M
        Mar 31, 2018 to Jan 29, 2019
      • RAUM · $105M to $54.9M
        Mar 31, 2018 to Jan 29, 2019
      • Charity clients · unset to 1.0
        Sep 14, 2017 to Mar 31, 2018
      • Corporate clients · unset to 0.0
        Sep 14, 2017 to Mar 31, 2018
      • HNW clients · unset to 9.0
        Sep 14, 2017 to Mar 31, 2018
      • Individual clients · unset to 0.0
        Sep 14, 2017 to Mar 31, 2018
      • Pension plan clients · unset to 0.0
        Sep 14, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 4.0
        Sep 14, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Sep 14, 2017 to Mar 31, 2018
      • Discretionary RAUM · $21.9M to $19.8M
        Sep 14, 2017 to Mar 31, 2018
      • HNW RAUM · unset to 11874065.0
        Sep 14, 2017 to Mar 31, 2018
      • Individual RAUM · unset to 0.0
        Sep 14, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $90.8M to $84.7M
        Sep 14, 2017 to Mar 31, 2018
      • Pension RAUM · unset to 0.0
        Sep 14, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 84734672.0
        Sep 14, 2017 to Mar 31, 2018
      • RAUM · $113M to $105M
        Sep 14, 2017 to Mar 31, 2018
      • Discretionary RAUM · $36.3M to $21.9M
        Mar 14, 2017 to Sep 14, 2017
      • Non-discretionary RAUM · $107M to $90.8M
        Mar 14, 2017 to Sep 14, 2017
      • RAUM · $144M to $113M
        Mar 14, 2017 to Sep 14, 2017
      • Employees · 8 to 9
        Oct 27, 2016 to Mar 14, 2017
      • Discretionary RAUM · $86.4M to $36.3M
        Oct 27, 2016 to Mar 14, 2017
      • Non-discretionary RAUM · $136M to $107M
        Oct 27, 2016 to Mar 14, 2017
      • RAUM · $223M to $144M
        Oct 27, 2016 to Mar 14, 2017
      • Accounts · 15 to 14
        Jul 8, 2016 to Oct 27, 2016
      • Discretionary RAUM · $84.7M to $86.4M
        Jul 8, 2016 to Oct 27, 2016
      • Non-discretionary RAUM · $149M to $136M
        Jul 8, 2016 to Oct 27, 2016
      • RAUM · $234M to $223M
        Jul 8, 2016 to Oct 27, 2016
      • Discretionary RAUM · $80.6M to $84.7M
        Mar 17, 2016 to Jul 8, 2016
      • Non-discretionary RAUM · $151M to $149M
        Mar 17, 2016 to Jul 8, 2016
      • RAUM · $231M to $234M
        Mar 17, 2016 to Jul 8, 2016
      • Accounts · 14 to 15
        Aug 24, 2015 to Mar 17, 2016
      • Discretionary RAUM · $90.5M to $80.6M
        Aug 24, 2015 to Mar 17, 2016
      • Non-discretionary RAUM · $187M to $151M
        Aug 24, 2015 to Mar 17, 2016
      Signals
      2 dated events
      • J••••••• S•••• (Director) no longer on Schedule A of I••••••••• I••••••••• S•••••••• A• (listed 2018-03-31, absent 2019-01-29)
        Jan 29, 2019 · Control person left · inference
      • I••••••••• I••••••••• S•••••••• A• filed its initial SEC registration (Form ADV)
        Dec 24, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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