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.
SEC-registered adviser
J. Safra Sarasin Asset Management (North America) Ltd
Latest filing Mar 25, 2026
First filing on the tape Jan 25, 2018 · 18 filings
SEC status approved since Feb 27, 2018
RAUM
$932M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
94%
$872M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$932M as of Mar 25, 2026
Mar 27, 2019$109M then
HNW client RAUM$685M as of Mar 25, 2026
Mar 27, 2019$90.3M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 27, 20190 then
Employees (5.A)7 as of Mar 25, 2026
Mar 27, 20193 then
Private funds: no history
RAUM +2.0% over the last fiscal year+41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- 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
- $15.9MderivedHNW RAUM over HNW clients
- Average account
- $4.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 56%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $932MreportedItem 5.I
- Custody
- $879M, 203 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- 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$685M74%
- Individuals$186M20%
- Corporations and businesses$57.8M6.2%
- Charitable organizations$2.5M0.3%
- Individual clients
- 136reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 225reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $879M for 203 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Juerg Egli · Directorcontrolsince 01/2018 · owns less than 5%
- Jean-Pierre Jacquemoud · Directorcontrolsince 01/2018 · owns less than 5%
- Herbert Thomas Maxwell · Chief Executive Officercontrolsince 04/2018 · owns less than 5%
- Costantino Menna · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- Vivien Elie Sassoon · Chairman/Directorcontrolsince 01/2018 · owns less than 5%
- Joseph David Safra · Shareholdercontrolsince 07/2017 · owns 25% to 50% of Js International Holdings Ltd
- Joseph Jacob Safra · Shareholdercontrolsince 07/2017 · owns 25% to 50% of Js International Holdings Ltd
- Vicky Safra · Shareholdercontrolsince 07/2017 · owns 75% or more of Js International Holdings Ltd
Entity owners
- J. Safra Sarasin Holding Ag · Shareholderdirect · owns 75% or more
- J. Safra Holdings International (Luxembourg) S.A. · Shareholderindirect · owns 75% or more of J. Safra Sarasin Holding Ag
- J. Safra Holdings Luxembourg Sarl · Shareholderindirect · owns 75% or more of J. Safra Holdings International (Luxembourg) S.A.
- Js International Holdings Ltd · Shareholderindirect · owns 75% or more of J. Safra Holdings Luxembourg Sarl
Related persons
Schedule D 7.A
- Bank J. Safra Sarasin Agbroker-dealerinvestment adviserbankLP sponsorcustodiann
- Safra Securities LLCbroker-dealern
Advisers that list J. Safra Sarasin Asset Management (North America) Ltd as a related person
- 131243 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 25, 2026HNW RAUM per HNW client of $15,937,300 against a peer median of $3,134,900 (1404 comparable advisers, 99.0th percentile, 8.4 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 99% percentile
- discretionary share shiftChange between filings · filing Mar 25, 2026discretionary share of RAUM moved from 37.0% to 56.0% between the annual amendments of 2025-04-30 and 2026-03-25peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 206 to 225Aug 27, 2025 to Mar 25, 2026
- Advisory employees · 8 to 5Aug 27, 2025 to Mar 25, 2026
- Corporate clients · unset to 45.0Aug 27, 2025 to Mar 25, 2026
- HNW clients · 32 to 43Aug 27, 2025 to Mar 25, 2026
- Individual clients · 173 to 136Aug 27, 2025 to Mar 25, 2026
- Assets in custody · $866M to $879MAug 27, 2025 to Mar 25, 2026
- Employees · 9 to 7Aug 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $338M to $524MAug 27, 2025 to Mar 25, 2026
- HNW RAUM · $747M to $685MAug 27, 2025 to Mar 25, 2026
- Individual RAUM · $164M to $186MAug 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $576M to $408MAug 27, 2025 to Mar 25, 2026
- RAUM · $914M to $932MAug 27, 2025 to Mar 25, 2026
- Accounts · 199 to 206Dec 23, 2024 to Apr 30, 2025
- Advisory employees · 3 to 8Dec 23, 2024 to Apr 30, 2025
- HNW clients · unset to 32.0Dec 23, 2024 to Apr 30, 2025
- Individual clients · 198 to 173Dec 23, 2024 to Apr 30, 2025
- Assets in custody · $618M to $866MDec 23, 2024 to Apr 30, 2025
- Employees · 3 to 9Dec 23, 2024 to Apr 30, 2025
- Financial planning clients · unset to Dec 23, 2024 to Apr 30, 2025
- HQ state · unset to Dec 23, 2024 to Apr 30, 2025
- Discretionary RAUM · $337M to $338MDec 23, 2024 to Apr 30, 2025
- HNW RAUM · $429M to $747MDec 23, 2024 to Apr 30, 2025
- Individual RAUM · $494M to $164MDec 23, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $586M to $576MDec 23, 2024 to Apr 30, 2025
- RAUM · $923M to $914MDec 23, 2024 to Apr 30, 2025
- Accounts · 130 to 199Mar 26, 2024 to Dec 23, 2024
- HNW clients · 43.0 to unsetMar 26, 2024 to Dec 23, 2024
- Individual clients · 76 to 198Mar 26, 2024 to Dec 23, 2024
- Employees · 4 to 3Mar 26, 2024 to Dec 23, 2024
- Other offices · 0 to 1Mar 26, 2024 to Dec 23, 2024
- Discretionary RAUM · $281M to $337MMar 26, 2024 to Dec 23, 2024
- HNW RAUM · $587M to $429MMar 26, 2024 to Dec 23, 2024
- Individual RAUM · $63.8M to $494MMar 26, 2024 to Dec 23, 2024
- Non-discretionary RAUM · $370M to $586MMar 26, 2024 to Dec 23, 2024
- RAUM · $651M to $923MMar 26, 2024 to Dec 23, 2024
- Accounts · 121 to 130Mar 30, 2023 to Mar 26, 2024
- Advisory employees · 2 to 3Mar 30, 2023 to Mar 26, 2024
- HNW clients · 38 to 43Mar 30, 2023 to Mar 26, 2024
- Individual clients · 78 to 76Mar 30, 2023 to Mar 26, 2024
- Assets in custody · $257M to $618MMar 30, 2023 to Mar 26, 2024
Signals
6 dated events
- J. Safra Sarasin Asset Management (North America) Ltd reported RAUM $922.8M, up 42% from $651.0M (2024-03-26 to 2024-12-23)Dec 23, 2024 · RAUM change · derived
- J. Safra Sarasin Asset Management (North America) Ltd reported RAUM $651.0M, up 94% from $335.9M (2023-03-30 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Costantino Menna (Chief Compliance Officer) appeared on Schedule A of J. Safra Sarasin Asset Management (North America) LtdMar 30, 2023 · Control person joined · fact
- J. Safra Sarasin Asset Management (North America) Ltd reported RAUM $398.0M, up 48% from $268.1M (2021-03-30 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- Yacoub Joseph Safra (Shareholder) no longer on Schedule A of J. Safra Sarasin Asset Management (North America) Ltd (listed 2020-10-02, absent 2021-03-03)Mar 3, 2021 · Control person left · inference
- J. Safra Sarasin Asset Management (North America) Ltd filed its initial SEC registration (Form ADV)Jan 25, 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
- JSAFRASARASIN.COM/NORTHAMERICAreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +41583176400reportedpublic record, Form ADV, Mar 25, 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