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
P••••••• P•••••• W••••• A•
Latest filing Mar 19, 2026
First filing on the tape Jan 27, 2014 · 31 filings
SEC status approved since Feb 24, 2014
RAUM
$228M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
48%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$228M as of Mar 19, 2026
Mar 17, 2015$447M then
HNW client RAUM$51.9M as of Mar 19, 2026
Mar 31, 2018$77.3M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 17, 20150 then
Employees (5.A)4 as of Mar 19, 2026
Mar 17, 20158 then
Private funds: no history
RAUM +30% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$85.1M41%
- Individuals$58.4M28%
- High-net-worth individuals$51.9M25%
- Charitable organizations$6.4M3.1%
- Insurance companies$5.1M2.5%
- Individual clients
- 48reported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 113reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.48 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y••• R•••••• | Zurich | Jan 26, 2017 | 17 y | 1 |
| C•••••• R••••• R••••••••• | 8001 Zurich | Sep 12, 2017 | 13 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
- L••• P••• H••••••• to T•••••• W••••• M•••••••••Apr 27, 2018 · Other
Joined, latest
- L••• P••• H••••••• from P••••••• W••••• M••••••••• A•Jan 30, 2017 · Other
- Y••• R•••••• from P••••••• W••••• M••••••••• A•Jan 26, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P••••••• W••••• M••••••••• A•Dec 31, 2016 · Zurich
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• A•••••• · Chief Operating Officer/Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- R••••••• Y••• · Chief Executive Officer, Directorcontrolsince 12/2013 · owns 75% or more
- M•••• S••••••• H••••• · Chief Investment Officersince 04/2019 · owns less than 5%
Related persons
Schedule D 7.A
- P••••••• P•••••• O••••• A•n
Advisers that list P••••••• P•••••• W••••• A• as a related person
- 153149 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 104 to 113Oct 31, 2025 to Mar 19, 2026
- Corporate clients · 14 to 13Oct 31, 2025 to Mar 19, 2026
- HNW clients · 15 to 14Oct 31, 2025 to Mar 19, 2026
- Individual clients · 41 to 48Oct 31, 2025 to Mar 19, 2026
- Discretionary RAUM · $155M to $202MOct 31, 2025 to Mar 19, 2026
- HNW RAUM · $48.9M to $51.9MOct 31, 2025 to Mar 19, 2026
- Individual RAUM · $39.2M to $58.4MOct 31, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $20.5M to $26.1MOct 31, 2025 to Mar 19, 2026
- RAUM · $175M to $228MOct 31, 2025 to Mar 19, 2026
- Accounts · 96 to 104Mar 26, 2024 to Mar 10, 2025
- Advisory employees · 2 to 3Mar 26, 2024 to Mar 10, 2025
- Corporate clients · 13 to 14Mar 26, 2024 to Mar 10, 2025
- Individual clients · 34 to 41Mar 26, 2024 to Mar 10, 2025
- Employees · 3 to 4Mar 26, 2024 to Mar 10, 2025
- Financial planning clients · 1-10 to 11-25Mar 26, 2024 to Mar 10, 2025
- HQ state · unset to Mar 26, 2024 to Mar 10, 2025
- Discretionary RAUM · $119M to $155MMar 26, 2024 to Mar 10, 2025
- HNW RAUM · $41.9M to $48.9MMar 26, 2024 to Mar 10, 2025
- Individual RAUM · $31.6M to $39.2MMar 26, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $40.5M to $20.5MMar 26, 2024 to Mar 10, 2025
- RAUM · $160M to $175MMar 26, 2024 to Mar 10, 2025
- Accounts · 109 to 96Feb 1, 2024 to Mar 26, 2024
- Advisory employees · 3 to 2Feb 1, 2024 to Mar 26, 2024
- Corporate clients · 12 to 13Feb 1, 2024 to Mar 26, 2024
- HNW clients · 16 to 15Feb 1, 2024 to Mar 26, 2024
- Individual clients · 37 to 34Feb 1, 2024 to Mar 26, 2024
- Employees · 5 to 3Feb 1, 2024 to Mar 26, 2024
- Discretionary RAUM · $116M to $119MFeb 1, 2024 to Mar 26, 2024
- HNW RAUM · $34.4M to $41.9MFeb 1, 2024 to Mar 26, 2024
- Individual RAUM · $27.0M to $31.6MFeb 1, 2024 to Mar 26, 2024
- Non-discretionary RAUM · $34.3M to $40.5MFeb 1, 2024 to Mar 26, 2024
- RAUM · $150M to $160MFeb 1, 2024 to Mar 26, 2024
- Accounts · 232 to 109Nov 3, 2022 to Mar 28, 2023
- HNW clients · 17 to 16Nov 3, 2022 to Mar 28, 2023
- Individual clients · 42 to 37Nov 3, 2022 to Mar 28, 2023
- Financial planning clients · 0 to 1-10Nov 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $137M to $116MNov 3, 2022 to Mar 28, 2023
- HNW RAUM · $35.8M to $34.4MNov 3, 2022 to Mar 28, 2023
- Individual RAUM · $35.2M to $27.0MNov 3, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $40.1M to $34.3MNov 3, 2022 to Mar 28, 2023
Signals
5 dated events
- Andrew Peter Hottinger (Chief Operating Officer, Chief Financial Officer & Chief Compliance Officer) no longer on Schedule A of P••••••• P•••••• W••••• A• (listed 2023-03-28, absent 2024-01-29)Jan 29, 2024 · Control person left · inference
- A••• K••••• (Chief Operating Officer/Chief Compliance Officer) appeared on Schedule A of P••••••• P•••••• W••••• A•Jan 29, 2024 · Control person joined · fact
- P••••••• P•••••• W••••• A• reported RAUM $199.7M, down 65% from $576.8M (2019-07-19 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- P••••••• P•••••• W••••• A• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 26, 2017 · Succession (Item 4) · fact
- M••••• P•••••• A••••• A• filed its initial SEC registration (Form ADV)Jan 27, 2014 · 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
- pilotage.chreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 41-43-5081717reportedpublic record, Form ADV, Mar 19, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026