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Former SEC-registered adviserFormer SEC adviser· Wollerau

Former SEC-registered adviser, based in Wollerau, reporting $118M of regulatory assets.

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

As of 2024-05-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $118M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: 90% of RAUM, $105M

Advisors Advisor movement Where the RAUM sits

As of 2024-05-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 4 Form ADV filings for this adviser, the latest 2.3 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 306917 · SEC 801-117992 · 4 filingsShow

CRD 306917SEC 801-117992First filing on the tape Dec 23, 2019, latest May 20, 2024IAPD

RAUM

$118M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

90%

$105M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$118M as of May 20, 2024

Dec 23, 2019$84.7M then

HNW client RAUM$57.9M as of May 20, 2024

Dec 23, 2019$26.4M then

State-registered IARs (5.B.3)0 as of May 20, 2024

Dec 23, 20190 then

Employees (5.A)3 as of May 20, 2024

Dec 23, 20193 then

Private funds: no history

Practice profile

derived from the filing of May 20, 2024; 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: $9.7MderivedHNW RAUM over HNW clients
Average account: $1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: 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

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

High-net-worth individuals$57.9M54%
Individuals$47.5M44%
Corporations and businesses$2.5M2.3%

Individual clients: 44reported
HNW clients: 6reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 62reported
Financial planning clients: n/areported
Wrap fee programs: noreported
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

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

C••••••• M•• · Directorcontrol
since 12/2019 · owns less than 5%
M•••• F•••••• C••••••• · Ceo, Cco, Director, Shareholdercontrol
since 05/2013 · owns 50% to 75%
M••••• A•••••• · Director, Shareholdercontrol
since 03/2012 · owns 10% to 25%

Related persons

Schedule D 7.A

A••••• L••
n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 61 to 62
Jun 30, 2020 to May 17, 2021
HNW clients · 4 to 6
Jun 30, 2020 to May 17, 2021
Individual clients · 47 to 44
Jun 30, 2020 to May 17, 2021
Discretionary RAUM · $79.3M to $118M
Jun 30, 2020 to May 17, 2021
HNW RAUM · $24.8M to $57.9M
Jun 30, 2020 to May 17, 2021
Individual RAUM · $42.7M to $47.5M
Jun 30, 2020 to May 17, 2021
RAUM · $79.3M to $118M
Jun 30, 2020 to May 17, 2021
Accounts · 62 to 61
Dec 23, 2019 to Jun 30, 2020
Business name · A••••• F•••••••• S• to A••••• F•••••••• A•
Dec 23, 2019 to Jun 30, 2020
Individual clients · 48 to 47
Dec 23, 2019 to Jun 30, 2020
Legal name · A••••• F•••••••• S• to A••••• F•••••••• A•
Dec 23, 2019 to Jun 30, 2020
Discretionary RAUM · $84.7M to $79.3M
Dec 23, 2019 to Jun 30, 2020
HNW RAUM · $26.4M to $24.8M
Dec 23, 2019 to Jun 30, 2020
Individual RAUM · $45.5M to $42.7M
Dec 23, 2019 to Jun 30, 2020
RAUM · $84.7M to $79.3M
Dec 23, 2019 to Jun 30, 2020

Signals

1 dated events

••• Locked
Dec 23, 2019 · 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