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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SEC-registered adviser

W••••• M••••••••• G•••• A•

Independent wealth managerZurich, CRD 335036SEC 801-132509IAPD
Latest filing Mar 17, 2026
First filing on the tape Apr 7, 2025 · 2 filings
SEC status approved since Jun 20, 2025
RAUM
$34.7M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
57%
$19.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$17.3M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$34.7M as of Mar 17, 2026
Apr 7, 2025$0 then
HNW client RAUM$19.7M as of Mar 17, 2026
Apr 7, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Apr 7, 20250 then
Employees (5.A)4 as of Mar 17, 2026
Apr 7, 20254 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$17.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.9MderivedHNW RAUM over HNW clients
Average account
$6.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$19.7M57%
  • Corporations and businesses$15.0M43%
Individual clients
0reported
HNW clients
4reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.57 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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      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 · 0 to 5
        Apr 7, 2025 to Mar 17, 2026
      • Corporate clients · 0 to 1
        Apr 7, 2025 to Mar 17, 2026
      • HNW clients · 0 to 4
        Apr 7, 2025 to Mar 17, 2026
      • Discretionary RAUM · $0 to $33.2M
        Apr 7, 2025 to Mar 17, 2026
      • HNW RAUM · $0 to $19.7M
        Apr 7, 2025 to Mar 17, 2026
      • Non-discretionary RAUM · $0 to $1.4M
        Apr 7, 2025 to Mar 17, 2026
      • RAUM · $0 to $34.7M
        Apr 7, 2025 to Mar 17, 2026
      Signals
      No event on the tape.
      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
      Principal office phone
      +41 43 443 80 95reportedpublic record, Form ADV, Mar 17, 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
      $17.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026