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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Former SEC-registered adviser

U•• I••••••••• A••••••• S•••

Former SEC-registered adviserZurich, CRD 169987SEC 801-79172IAPD
Latest filing Sep 23, 2022
First filing on the tape Jan 30, 2014 · 36 filings
RAUM
$943M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
68%
$640M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$943M as of Mar 25, 2022
Apr 30, 2014$0 then
HNW client RAUM$536M as of Mar 25, 2022
Mar 23, 2018$125M then
State-registered IARs (5.B.3)1 as of Mar 25, 2022
Apr 30, 20140 then
Employees (5.A)8 as of Mar 25, 2022
Apr 30, 20143 then
Private funds: no history
RAUM -61% over the last fiscal year+22% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Sep 23, 2022; every figure names its basis
RAUM per advisor
$943MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
165derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.4MderivedHNW RAUM over HNW clients
Average account
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
48%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-61%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-14%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program
$943MreportedItem 5.I
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$536M57%
  • Corporations and businesses$304M32%
  • Individuals$104M11%
Individual clients
66reported
HNW clients
99reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
214reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••••• Y••• · Directorcontrol
    since 12/2013 · owns less than 5%
  • C••••• I••• M••• · Directorcontrol
    since 12/2013 · owns less than 5%
  • G••••••••• E•• K•••••• · Chief Executive Officercontrol
    since 01/2021 · owns less than 5%
  • K•••••• A••••• · Directorcontrol
    since 12/2019 · owns less than 5%
  • L••••••• A•••••••• · Chief Compliance Officercontrol
    since 09/2022 · owns less than 5%
  • D• P••••••••• A••• R••••• · Shareholdercontrol
    since 12/2018 · owns 75% or more of H• D• P• C••••••••• G••••• S•••
  • D• P••••••••• D•••••• A•••• · Shareholdercontrol
    since 12/2018 · owns 75% or more of H• D• P• C••••••••• G••••• S•••
  • D• P••••••••• G•• · Shareholdercontrol
    since 12/2018 · owns 75% or more of H• D• P• C••••••••• G••••• S•••
  • D• P••••••••• M••• · Shareholdercontrol
    since 12/2018 · owns 75% or more of H• D• P• C••••••••• G••••• S•••
Entity owners
  • U•••• B••••••• P••••• U•• S••• · Shareholder
    direct · owns 75% or more
  • C•• H••••••• S••• · Shareholder
    indirect · owns 75% or more of U•••• B••••••• P••••• U•• S•••
  • H• D• P• ••••••• D• P••••••••• · Shareholder
    indirect · owns 50% to 75% of C•• H••••••• S•••
  • H• D• P• C••••••••• G••••• S••• · Shareholder
    indirect · owns 75% or more of H• D• P• ••••••• D• P•••••••••
  • U•••• B••••••• P••••• U•• S••• · Shareholder
    indirect · owns 75% or more of U•• I••••••••• A••••••• S•••
Related persons
Schedule D 7.A
  • U•••• B••••••• P••••• •••• S•••
    investment advisercustodiany
Advisers that list U•• I••••••••• A••••••• S••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Geneva, Switzerland3 employees
What changed
consecutive filings, newest first
  • State-registered IARs · 2 to 1
    Mar 31, 2021 to Mar 25, 2022
  • Accounts · 257 to 214
    Mar 31, 2021 to Mar 25, 2022
  • Advisory employees · 6 to 5
    Mar 31, 2021 to Mar 25, 2022
  • Corporate clients · 65 to 49
    Mar 31, 2021 to Mar 25, 2022
  • HNW clients · 137 to 99
    Mar 31, 2021 to Mar 25, 2022
  • Individual clients · 55 to 66
    Mar 31, 2021 to Mar 25, 2022
  • Pension plan clients · unset to 1.0
    Mar 31, 2021 to Mar 25, 2022
  • Employees · 9 to 8
    Mar 31, 2021 to Mar 25, 2022
  • HQ city · GENEVA to ZURICH
    Mar 31, 2021 to Mar 25, 2022
  • Discretionary RAUM · $1.8B to $451M
    Mar 31, 2021 to Mar 25, 2022
  • HNW RAUM · $1.9B to $536M
    Mar 31, 2021 to Mar 25, 2022
  • Individual RAUM · $51.4M to $104M
    Mar 31, 2021 to Mar 25, 2022
  • Non-discretionary RAUM · $603M to $492M
    Mar 31, 2021 to Mar 25, 2022
  • Pension RAUM · unset to 0.0
    Mar 31, 2021 to Mar 25, 2022
  • RAUM · $2.4B to $943M
    Mar 31, 2021 to Mar 25, 2022
  • Accounts · 231 to 257
    Feb 1, 2021 to Mar 31, 2021
  • Advisory employees · 4 to 6
    Feb 1, 2021 to Mar 31, 2021
  • Corporate clients · 50 to 65
    Feb 1, 2021 to Mar 31, 2021
  • HNW clients · 98 to 137
    Feb 1, 2021 to Mar 31, 2021
  • Individual clients · 45 to 55
    Feb 1, 2021 to Mar 31, 2021
  • Employees · 10 to 9
    Feb 1, 2021 to Mar 31, 2021
  • State-registered IARs · 5 to 2
    Feb 1, 2021 to Mar 31, 2021
  • Discretionary RAUM · $950M to $1.8B
    Feb 1, 2021 to Mar 31, 2021
  • HNW RAUM · $1.0B to $1.9B
    Feb 1, 2021 to Mar 31, 2021
  • Individual RAUM · $37.3M to $51.4M
    Feb 1, 2021 to Mar 31, 2021
  • Non-discretionary RAUM · $450M to $603M
    Feb 1, 2021 to Mar 31, 2021
  • RAUM · $1.4B to $2.4B
    Feb 1, 2021 to Mar 31, 2021
  • Accounts · 152 to 231
    Nov 27, 2019 to Mar 31, 2020
  • Corporate clients · 57 to 50
    Nov 27, 2019 to Mar 31, 2020
  • HNW clients · 55 to 98
    Nov 27, 2019 to Mar 31, 2020
  • Individual clients · 61 to 45
    Nov 27, 2019 to Mar 31, 2020
  • Discretionary RAUM · $212M to $950M
    Nov 27, 2019 to Mar 31, 2020
  • HNW RAUM · $206M to $1.0B
    Nov 27, 2019 to Mar 31, 2020
  • Individual RAUM · $10.3M to $37.3M
    Nov 27, 2019 to Mar 31, 2020
  • Non-discretionary RAUM · $309M to $450M
    Nov 27, 2019 to Mar 31, 2020
  • RAUM · $521M to $1.4B
    Nov 27, 2019 to Mar 31, 2020
  • Accounts · 73 to 152
    Jan 31, 2019 to Mar 29, 2019
  • Advisory employees · 5 to 4
    Jan 31, 2019 to Mar 29, 2019
  • Corporate clients · 26 to 57
    Jan 31, 2019 to Mar 29, 2019
  • HNW clients · 47 to 55
    Jan 31, 2019 to Mar 29, 2019
Signals
16 dated events
  • A•••••••• L•••••• (Chief Compliance Officer) appeared on Schedule A of U•• I••••••••• A••••••• S•••
    Aug 31, 2022 · Control person joined · fact
  • Kellie Geyer (Head Of Compliance - Chief Compliance Officer) no longer on Schedule A of U•• I••••••••• A••••••• S••• (listed 2022-03-25, absent 2022-08-31)
    Aug 31, 2022 · Control person left · inference
  • U•• I••••••••• A••••••• S••• reported RAUM $943.1M, down 61% from $2.4B (2021-03-31 to 2022-03-25)
    Mar 25, 2022 · RAUM change · derived
  • Kellie Geyer (Head Of Compliance - Chief Compliance Officer) appeared on Schedule A of U•• I••••••••• A••••••• S•••
    Mar 25, 2022 · Control person joined · fact
  • A Matthew Cullen (Head Of Legal And Compliance - Chief Compliance Officer) no longer on Schedule A of U•• I••••••••• A••••••• S••• (listed 2021-03-31, absent 2022-03-25)
    Mar 25, 2022 · Control person left · inference
  • U•• I••••••••• A••••••• S••• reported RAUM $2.4B, up 72% from $1.4B (2021-02-01 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • D••••• S••• (Chief Executive Officer) no longer on Schedule A of U•• I••••••••• A••••••• S••• (listed 2020-06-30, absent 2021-02-01)
    Feb 1, 2021 · Control person left · inference
  • Eva Kathrin Genovese-Delwing (Chief Executive Officer) appeared on Schedule A of U•• I••••••••• A••••••• S•••
    Feb 1, 2021 · Control person joined · fact
  • U•• I••••••••• A••••••• S••• reported RAUM $1.4B, up 169% from $521.0M (2019-11-27 to 2020-03-31)
    Mar 31, 2020 · RAUM change · derived
  • Benoit Barbereau (Director) no longer on Schedule A of U•• I••••••••• A••••••• S••• (listed 2019-11-27, absent 2020-03-31)
    Mar 31, 2020 · Control person left · inference
  • U•• I••••••••• A••••••• S••• reported RAUM $521.0M, up 114% from $243.0M (2019-01-31 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • Alain Daniel De Picciotto (Shareholder) appeared on Schedule A of U•• I••••••••• A••••••• S•••
    Jan 8, 2019 · Control person joined · fact
  • Guy De Picciotto (Shareholder) appeared on Schedule A of U•• I••••••••• A••••••• S•••
    Jan 8, 2019 · Control person joined · fact
  • Anne Rotman De Picciotto (Shareholder) appeared on Schedule A of U•• I••••••••• A••••••• S•••
    Jan 8, 2019 · Control person joined · fact
  • Marc De Picciotto (Shareholder) appeared on Schedule A of U•• I••••••••• A••••••• S•••
    Jan 8, 2019 · Control person joined · fact
  • U•• I••••••••• A••••••• S••• filed its initial SEC registration (Form ADV)
    Jan 30, 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.
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