DFX Intelligence

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SEC-registered adviser

R•••• O••••••• L•••

Independent wealth managerZurich, CRD 169309SEC 801-78986IAPD

Latest filing Jan 4, 2025

First filing on the tape Dec 17, 2013 · 15 filings

SEC status approved since Jan 13, 2014

RAUM

$84.9M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$84.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$84.9M as of Jan 4, 2025

Mar 31, 2015$44.0M then

HNW client RAUM$84.9M as of Jan 4, 2025

Mar 26, 2018$48.1M then

State-registered IARs (5.B.3)0 as of Jan 4, 2025

Mar 31, 20150 then

Employees (5.A)6 as of Jan 4, 2025

Mar 31, 20153 then

Private funds: no history

RAUM +0.0% over the last fiscal year-4.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jan 4, 2025; 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: $7.1MderivedHNW RAUM over HNW clients
Average account: $7.1MderivedRAUM 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: +0.0%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%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

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$84.9M100%

Individual clients: 0reported
HNW clients: 12reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 12reported
Financial planning clients: 0reported
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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••••• R•••••• · Chief Executive Officercontrol
since 12/2020 · owns less than 5%
H••••• S•••••• · Chief Investment Officercontrol
since 10/2021 · owns less than 5%
W••••••• R•••••• •••• · Chief Compliance Officercontrol
since 10/2013 · owns less than 5%
C••••••••• R•••••• · Ownercontrol
since 01/2021 · owns 75% or more of A•••••• G•••• L•••
C••••••• M••• N•• · Chairman / Ownercontrol
since 03/2019 · owns 75% or more of A••••• L•••

Entity owners

A•••••• G•••• L••• · Owner
direct · owns 75% or more
A••••• L••• · Owner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

A•••••• Z••• S•••••••• L•••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 0 to 0
Mar 27, 2024 to Jan 4, 2025
HQ state · unset to
Mar 27, 2024 to Jan 4, 2025
Discretionary RAUM · $74.1M to $84.9M
Mar 22, 2023 to Mar 27, 2024
HNW RAUM · $74.1M to $84.9M
Mar 22, 2023 to Mar 27, 2024
RAUM · $74.1M to $84.9M
Mar 22, 2023 to Mar 27, 2024
Accounts · 14 to 12
Mar 30, 2022 to Mar 22, 2023
Advisory employees · 5 to 4
Mar 30, 2022 to Mar 22, 2023
HNW clients · 14 to 12
Mar 30, 2022 to Mar 22, 2023
Employees · 5 to 6
Mar 30, 2022 to Mar 22, 2023
Discretionary RAUM · $98.3M to $74.1M
Mar 30, 2022 to Mar 22, 2023
HNW RAUM · $98.3M to $74.1M
Mar 30, 2022 to Mar 22, 2023
RAUM · $98.3M to $74.1M
Mar 30, 2022 to Mar 22, 2023
Discretionary RAUM · $102M to $98.3M
Mar 31, 2021 to Mar 30, 2022
HNW RAUM · $102M to $98.3M
Mar 31, 2021 to Mar 30, 2022
RAUM · $102M to $98.3M
Mar 31, 2021 to Mar 30, 2022
RAUM · $101M to $102M
Mar 30, 2020 to Mar 31, 2021
Discretionary RAUM · $101M to $102M
Mar 30, 2020 to Mar 31, 2021
HNW RAUM · $101M to $102M
Mar 30, 2020 to Mar 31, 2021
Accounts · 11 to 14
Mar 28, 2019 to Mar 30, 2020
Advisory employees · 3 to 5
Mar 28, 2019 to Mar 30, 2020
Charity clients · unset to 0.0
Mar 28, 2019 to Mar 30, 2020
Corporate clients · unset to 0.0
Mar 28, 2019 to Mar 30, 2020
HNW clients · 11 to 14
Mar 28, 2019 to Mar 30, 2020
Individual clients · unset to 0.0
Mar 28, 2019 to Mar 30, 2020
Pension plan clients · unset to 0.0
Mar 28, 2019 to Mar 30, 2020
Employees · 3 to 5
Mar 28, 2019 to Mar 30, 2020
Discretionary RAUM · $31.2M to $101M
Mar 28, 2019 to Mar 30, 2020
HNW RAUM · $31.2M to $101M
Mar 28, 2019 to Mar 30, 2020
RAUM · $31.2M to $101M
Mar 28, 2019 to Mar 30, 2020
Accounts · 14 to 11
Nov 14, 2018 to Mar 28, 2019
HNW clients · 14 to 11
Nov 14, 2018 to Mar 28, 2019
Discretionary RAUM · $48.1M to $31.2M
Nov 14, 2018 to Mar 28, 2019
HNW RAUM · $48.1M to $31.2M
Nov 14, 2018 to Mar 28, 2019
RAUM · $48.1M to $31.2M
Nov 14, 2018 to Mar 28, 2019
HNW clients · unset to 14.0
Feb 27, 2017 to Mar 26, 2018
Pooled vehicle clients · unset to 0.0
Feb 27, 2017 to Mar 26, 2018
Other offices · unset to 0.0
Feb 27, 2017 to Mar 26, 2018
Discretionary RAUM · $41.5M to $48.1M
Feb 27, 2017 to Mar 26, 2018
HNW RAUM · unset to 48124000.0
Feb 27, 2017 to Mar 26, 2018
Individual RAUM · unset to 0.0
Feb 27, 2017 to Mar 26, 2018

Signals

6 dated events

••• Locked
Mar 30, 2022 · Control person left · inference
••• Locked
Mar 30, 2022 · Control person joined · fact
••• Locked
Mar 31, 2021 · Control person joined · fact
••• Locked
Mar 30, 2020 · Control person joined · fact
••• Locked
Mar 30, 2020 · Control person left · inference
••• Locked
Dec 17, 2013 · 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

Principal office phone: 011-41-58-680-5919reportedpublic record, Form ADV, Jan 4, 2025

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