DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

H••••••• I••••••••• A•••••••

Independent wealth managerSEC-registered· Luganowebsite

Independent wealth manager, based in Lugano, reporting $507M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $507M
Advisors: 0
RAUM change, 1 year: +37%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+36.8%
RAUM, one year
RAUM $370M to $507M (+36.8%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 171155 · SEC 801-79688 · 19 filingsShow

CRD 171155SEC 801-79688Legal name H• I• A• • H••••••• I••••••••• A••••••• S•First filing on the tape Apr 25, 2014, latest Mar 30, 2026SEC status approved since May 9, 2014IAPD

RAUM

$507M

reported, Item 5.F

Discretionary

84%

of RAUM

Private clients

100%

$507M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM +15% a year over three years · the tape starts Apr 25, 2014

Peer group: Independent wealth managers, $500M to $1B, 1,481 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$507M as of Mar 30, 2026

Feb 19, 2015$25.7M then

HNW client RAUM$505M as of Mar 30, 2026

Apr 5, 2018$28.0M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Feb 19, 20151 then

Employees (5.A)1 as of Mar 30, 2026

Feb 19, 20152 then

Private funds: no history

RAUM +37% over the last fiscal year+15% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $3.9MderivedHNW RAUM over HNW clients
Average account: $3.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 84%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 office incl. principal (1.F.5)
RAUM growth, one year: +37%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +30%derived
Compensation: percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals, 0.3% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$505M100%
Individuals$1.6M0.3%

Individual clients: 6reported
HNW clients: 131reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 137reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••••• G•••••••• · Cco/Ceocontrol
since 08/2018 · owns 50% to 75%
K••••••• D••• · Cio
since 03/2020 · owns 5% to 10%

Ownership changes

3 Schedule A changes between consecutive filings, latest first

Added D••• K•••••• · CIO
filing of Mar 18, 2020, against May 21, 2019 · owns 5 to 10%
Added G•••••••• B••••••• · President & CEO control
filing of Mar 20, 2019, against Apr 5, 2018 · owns 25 to 50%
Removed F•••• S••••••••• · CEO and President control
filing of Mar 20, 2019, against Apr 5, 2018 · owns 75% or more

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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 · 105 to 137
Apr 3, 2025 to Mar 30, 2026
HNW clients · 99 to 131
Apr 3, 2025 to Mar 30, 2026
Discretionary RAUM · $316M to $426M
Apr 3, 2025 to Mar 30, 2026
HNW RAUM · $369M to $505M
Apr 3, 2025 to Mar 30, 2026
Individual RAUM · $1.3M to $1.6M
Apr 3, 2025 to Mar 30, 2026

Full history · 80 changes

Non-discretionary RAUM · $54.6M to $80.7M
Apr 3, 2025 to Mar 30, 2026
RAUM · $370M to $507M
Apr 3, 2025 to Mar 30, 2026
Accounts · 53 to 105
Apr 3, 2024 to Apr 3, 2025
Advisory employees · 2 to 1
Apr 3, 2024 to Apr 3, 2025
HNW clients · 47 to 99
Apr 3, 2024 to Apr 3, 2025
Employees · 2 to 1
Apr 3, 2024 to Apr 3, 2025
Financial planning clients · unset to
Apr 3, 2024 to Apr 3, 2025
HQ state · unset to
Apr 3, 2024 to Apr 3, 2025
State-registered IARs · 1 to 0
Apr 3, 2024 to Apr 3, 2025
Discretionary RAUM · $233M to $316M
Apr 3, 2024 to Apr 3, 2025
HNW RAUM · $356M to $369M
Apr 3, 2024 to Apr 3, 2025
Individual RAUM · $1.1M to $1.3M
Apr 3, 2024 to Apr 3, 2025
Non-discretionary RAUM · $123M to $54.6M
Apr 3, 2024 to Apr 3, 2025
RAUM · $357M to $370M
Apr 3, 2024 to Apr 3, 2025
Accounts · 51 to 53
Mar 21, 2023 to Mar 27, 2024
HNW clients · 43 to 47
Mar 21, 2023 to Mar 27, 2024
Individual clients · 8 to 6
Mar 21, 2023 to Mar 27, 2024
Discretionary RAUM · $221M to $233M
Mar 21, 2023 to Mar 27, 2024
HNW RAUM · $333M to $356M
Mar 21, 2023 to Mar 27, 2024
Individual RAUM · $1.5M to $1.1M
Mar 21, 2023 to Mar 27, 2024
Non-discretionary RAUM · $113M to $123M
Mar 21, 2023 to Mar 27, 2024
RAUM · $334M to $357M
Mar 21, 2023 to Mar 27, 2024
Accounts · 45 to 51
Mar 30, 2022 to Mar 21, 2023
HNW clients · 31 to 43
Mar 30, 2022 to Mar 21, 2023
Individual clients · 14 to 8
Mar 30, 2022 to Mar 21, 2023
Discretionary RAUM · $24.0M to $221M
Mar 30, 2022 to Mar 21, 2023
HNW RAUM · $259M to $333M
Mar 30, 2022 to Mar 21, 2023
Individual RAUM · $3.1M to $1.5M
Mar 30, 2022 to Mar 21, 2023
Non-discretionary RAUM · $238M to $113M
Mar 30, 2022 to Mar 21, 2023
RAUM · $262M to $334M
Mar 30, 2022 to Mar 21, 2023
Accounts · 36 to 45
Mar 24, 2021 to Mar 30, 2022
HNW clients · 22 to 31
Mar 24, 2021 to Mar 30, 2022
Discretionary RAUM · $42.4M to $24.0M
Mar 24, 2021 to Mar 30, 2022
HNW RAUM · $235M to $259M
Mar 24, 2021 to Mar 30, 2022
Individual RAUM · $5.7M to $3.1M
Mar 24, 2021 to Mar 30, 2022
Non-discretionary RAUM · $198M to $238M
Mar 24, 2021 to Mar 30, 2022
RAUM · $241M to $262M
Mar 24, 2021 to Mar 30, 2022
Accounts · 33 to 36
Jun 30, 2020 to Mar 24, 2021
HNW clients · 29 to 22
Jun 30, 2020 to Mar 24, 2021
Individual clients · 4 to 14
Jun 30, 2020 to Mar 24, 2021
Discretionary RAUM · $160M to $42.4M
Jun 30, 2020 to Mar 24, 2021
HNW RAUM · $219M to $235M
Jun 30, 2020 to Mar 24, 2021
Individual RAUM · $1.3M to $5.7M
Jun 30, 2020 to Mar 24, 2021
Non-discretionary RAUM · $60.0M to $198M
Jun 30, 2020 to Mar 24, 2021
RAUM · $220M to $241M
Jun 30, 2020 to Mar 24, 2021
Accounts · 36 to 33
May 21, 2019 to Mar 18, 2020
Advisory employees · 1 to 2
May 21, 2019 to Mar 18, 2020
HNW clients · 10 to 29
May 21, 2019 to Mar 18, 2020
Individual clients · 26 to 4
May 21, 2019 to Mar 18, 2020
Insurance-licensed employees · 1 to 0
May 21, 2019 to Mar 18, 2020
Other offices · 1 to 0
May 21, 2019 to Mar 18, 2020
Discretionary RAUM · $8.2M to $160M
May 21, 2019 to Mar 18, 2020
HNW RAUM · $29.0M to $219M
May 21, 2019 to Mar 18, 2020
Individual RAUM · $31.0M to $1.3M
May 21, 2019 to Mar 18, 2020
Non-discretionary RAUM · $51.8M to $60.0M
May 21, 2019 to Mar 18, 2020
RAUM · $60.0M to $220M
May 21, 2019 to Mar 18, 2020
Accounts · 21 to 36
Apr 5, 2018 to Mar 20, 2019
HNW clients · unset to 10.0
Apr 5, 2018 to Mar 20, 2019
Individual clients · 18 to 26
Apr 5, 2018 to Mar 20, 2019
Insurance-licensed employees · 0 to 1
Apr 5, 2018 to Mar 20, 2019
HNW RAUM · $28.0M to $29.0M
Apr 5, 2018 to Mar 20, 2019
Individual RAUM · $29.0M to $31.0M
Apr 5, 2018 to Mar 20, 2019
Non-discretionary RAUM · $48.8M to $51.8M
Apr 5, 2018 to Mar 20, 2019
RAUM · $57.0M to $60.0M
Apr 5, 2018 to Mar 20, 2019
Accounts · 18 to 21
Feb 9, 2017 to Apr 5, 2018
Individual clients · unset to 18.0
Feb 9, 2017 to Apr 5, 2018
Other offices · unset to 1.0
Feb 9, 2017 to Apr 5, 2018
Discretionary RAUM · $3.7M to $8.2M
Feb 9, 2017 to Apr 5, 2018
HNW RAUM · unset to 28000000.0
Feb 9, 2017 to Apr 5, 2018
Individual RAUM · unset to 29000000.0
Feb 9, 2017 to Apr 5, 2018
Non-discretionary RAUM · $45.3M to $48.8M
Feb 9, 2017 to Apr 5, 2018
RAUM · $49.0M to $57.0M
Feb 9, 2017 to Apr 5, 2018
Related adviser · false to true
Feb 9, 2017 to Apr 5, 2018
Accounts · 12 to 18
Feb 3, 2016 to Feb 9, 2017
Discretionary RAUM · $3.3M to $3.7M
Feb 3, 2016 to Feb 9, 2017

Signals

5 dated events

••• Locked
Mar 30, 2026 · RAUM change · derived
••• Locked
Mar 18, 2020 · RAUM change · derived
••• Locked
Mar 20, 2019 · Control person left · inference
••• Locked
Mar 20, 2019 · Control person joined · fact
••• Locked
Apr 25, 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1) · the addresses open with an account

1 earlier address on Form ADV filings, the earliest seen May 21, 2019

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.