DFX Intelligence

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A•••• P••••••• I••••••••• A•

Independent wealth managerSEC-registered· Freienbachwebsite

Independent wealth manager, based in Freienbach, reporting $2.0B of regulatory assets.

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

As of 2026-04-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $2.0B
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +46%
Private clients: 100% of RAUM, $2.0B

Advisors Advisor movement Where the RAUM sits

As of 2026-04-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +46% over the last fiscal year, to $2.0B.
2026-04-21
RAUM a year earlier $1.4BRAUM now $2.0B
RAUM (Item 5.F) moved from $1,392,429,282 to $2,030,496,097 (+46.0%) between the annual amendments of 2025-03-28 and 2026-04-21; the peer median change was +17.0% (1297 comparable advisers, 91.0th percentile of changes)
2026-04-21
RAUM (Item 5.F) 2030496097Peer median 0.171813583688269
3 published business contact points are on record, each with its source.
Contact points 3

Every filed figure, and the identifiersCRD 291759 · SEC 801-112639 · 16 filingsShow

CRD 291759SEC 801-112639First filing on the tape Feb 15, 2018, latest Apr 21, 2026SEC status approved since Mar 19, 2018IAPD

RAUM

$2.0B

reported, Item 5.F

Discretionary

57%

of RAUM

Private clients

100%

$2.0B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

37 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$2.0B as of Apr 21, 2026

Feb 26, 2019$27.0M then

HNW client RAUM$2.0B as of Apr 21, 2026

Feb 26, 2019$27.0M then

State-registered IARs (5.B.3)0 as of Apr 21, 2026

Feb 26, 20190 then

Employees (5.A)57 as of Apr 21, 2026

Feb 26, 20194 then

Private funds: no history

RAUM +46% over the last fiscal year+39% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Apr 21, 2026; 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: $2.8MderivedHNW RAUM over HNW clients
Average account: $2.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 57%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year: +46%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, educational seminars, otherreportedItem 5.G
Ownership: controlled by a public reporting companyderived
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)
controlled by a public reporting company (10.A)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$2.0B100%

Individual clients: n/areported
HNW clients: 738reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 738reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, performancereported
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

B••••• A••••••• J••• · Chief Compliance Officercontrol
since 03/2024 · owns less than 5%
G•••••• N••••••• J••• · Chief Financial Officercontrol
since 07/2020 · owns less than 5%
G•••••• P•••••• O•••••• · Chairman And Chief Executive Officercontrol
since 07/2020 · owns 75% or more
H•••••• N••••• · Chief Operating Officercontrol
since 03/2023 · owns less than 5%
K••••• C•••••••• · Senior Relationship Manager Officercontrol
since 01/2017 · owns less than 5%
B•••••• A•••• · Senior Relationship Manager
since 10/2021 · owns less than 5%

Related persons

Schedule D 7.A

A•••• P••••••• A•
investment advisern

Offices

Schedule D 1.F, the 25 largest

Zurich, Switzerland4 employees
Geneva, Switzerland2 employees
Lugano, Switzerland1 employees

ADV anomalies

3 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Apr 21, 2026
RAUM (Item 5.F) moved from $1,392,429,282 to $2,030,496,097 (+46.0%) between the annual amendments of 2025-03-28 and 2026-04-21; the peer median change was +17.0% (1297 comparable advisers, 91.0th percentile of changes)
peers: independent wealth managers, $1B to $5B (1,297) · 91% percentile
control person changedChange between filings · filing Apr 21, 2026
H•••••• N••••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-04-21
peers: independent wealth managers, $1B to $5B (1,362)
control person changedChange between filings · filing Apr 21, 2026
G•••••• P•••••• O•••••• (CHAIRMAN AND CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-04-21
peers: independent wealth managers, $1B to $5B (1,362)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 493 to 738
Nov 7, 2025 to Mar 31, 2026
Advisory employees · 32 to 37
Nov 7, 2025 to Mar 31, 2026
HNW clients · 493 to 738
Nov 7, 2025 to Mar 31, 2026
Employees · 48 to 57
Nov 7, 2025 to Mar 31, 2026
Discretionary RAUM · $783M to $1.1B
Nov 7, 2025 to Mar 31, 2026
HNW RAUM · $1.4B to $2.0B
Nov 7, 2025 to Mar 31, 2026
Non-discretionary RAUM · $609M to $883M
Nov 7, 2025 to Mar 31, 2026
RAUM · $1.4B to $2.0B
Nov 7, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 28, 2025 to Jun 19, 2025
HQ city · BAECH to FREIENBACH
Mar 28, 2025 to Jun 19, 2025
Accounts · 392 to 493
Mar 27, 2024 to Mar 28, 2025
Advisory employees · 25 to 32
Mar 27, 2024 to Mar 28, 2025
HNW clients · 392 to 493
Mar 27, 2024 to Mar 28, 2025
Employees · 28 to 48
Mar 27, 2024 to Mar 28, 2025
HQ state · unset to
Mar 27, 2024 to Mar 28, 2025
Discretionary RAUM · $586M to $783M
Mar 27, 2024 to Mar 28, 2025
HNW RAUM · $1.0B to $1.4B
Mar 27, 2024 to Mar 28, 2025
Non-discretionary RAUM · $439M to $609M
Mar 27, 2024 to Mar 28, 2025
RAUM · $1.0B to $1.4B
Mar 27, 2024 to Mar 28, 2025
Accounts · 256 to 392
Mar 29, 2023 to Mar 27, 2024
Advisory employees · 27 to 25
Mar 29, 2023 to Mar 27, 2024
HNW clients · 255 to 392
Mar 29, 2023 to Mar 27, 2024
Employees · 29 to 28
Mar 29, 2023 to Mar 27, 2024
Discretionary RAUM · $378M to $586M
Mar 29, 2023 to Mar 27, 2024
HNW RAUM · $761M to $1.0B
Mar 29, 2023 to Mar 27, 2024
Non-discretionary RAUM · $383M to $439M
Mar 29, 2023 to Mar 27, 2024
RAUM · $761M to $1.0B
Mar 29, 2023 to Mar 27, 2024
Accounts · 205 to 256
Mar 31, 2022 to Mar 29, 2023
Advisory employees · 23 to 27
Mar 31, 2022 to Mar 29, 2023
HNW clients · 205 to 255
Mar 31, 2022 to Mar 29, 2023
Employees · 26 to 29
Mar 31, 2022 to Mar 29, 2023
Discretionary RAUM · $286M to $378M
Mar 31, 2022 to Mar 29, 2023
HNW RAUM · $729M to $761M
Mar 31, 2022 to Mar 29, 2023
Non-discretionary RAUM · $443M to $383M
Mar 31, 2022 to Mar 29, 2023
RAUM · $729M to $761M
Mar 31, 2022 to Mar 29, 2023
Accounts · 118 to 205
Mar 31, 2021 to Mar 31, 2022
Advisory employees · 18 to 23
Mar 31, 2021 to Mar 31, 2022
HNW clients · unset to 205.0
Mar 31, 2021 to Mar 31, 2022
Employees · 20 to 26
Mar 31, 2021 to Mar 31, 2022
Discretionary RAUM · $192M to $286M
Mar 31, 2021 to Mar 31, 2022

Signals

29 dated events

••• Locked
Mar 31, 2026 · RAUM change · derived
••• Locked
Jun 19, 2025 · ria hq relocated · fact
••• Locked
Mar 28, 2025 · RAUM change · derived
••• Locked
Mar 27, 2024 · RAUM change · derived
••• Locked
Mar 27, 2024 · Control person joined · fact
••• Locked
Mar 29, 2023 · Control person joined · fact
••• Locked
Mar 31, 2022 · RAUM change · derived
••• Locked
Mar 31, 2021 · Control person joined · fact
••• Locked
Mar 31, 2021 · Control person left · inference
••• Locked
Aug 6, 2020 · Control person joined · fact
••• Locked
Aug 6, 2020 · Control person joined · fact
••• Locked
Aug 6, 2020 · Control person joined · fact
••• Locked
Aug 6, 2020 · Control person joined · fact
••• Locked
Aug 6, 2020 · Control person left · inference
••• Locked
Aug 6, 2020 · Control person left · inference
••• Locked
Aug 6, 2020 · Control person left · inference
••• Locked
Aug 6, 2020 · Control person left · inference
••• Locked
Aug 6, 2020 · Control person left · inference
••• Locked
Jun 30, 2020 · Control person left · inference
••• Locked
Jun 30, 2020 · Control person left · inference
••• Locked
Jun 30, 2020 · Control person left · inference
••• Locked
Jun 30, 2020 · Control person joined · fact
••• Locked
Jun 30, 2020 · Control person joined · fact
••• Locked
Nov 5, 2019 · Control person joined · fact
••• Locked
Nov 5, 2019 · Control person left · inference
••• Locked
Feb 26, 2019 · Control person left · inference
••• Locked
Feb 26, 2019 · Control person joined · fact
••• Locked
Feb 26, 2019 · Control person joined · fact
••• Locked
Feb 15, 2018 · 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: ••• Lockedreportedpublic record, Form ADV, Apr 21, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 21, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: 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