SWISS AMERICAN ADVISORS LTD.
Adviser information for SWISS AMERICAN ADVISORS LTD. last updated from Form ADV on October 5th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Switzerland |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 11 | $18.0M |
| Non-Discretionary | 29 | $36.3M |
| Total | 40 | $54.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 22 | $9.0M |
| HNW Individuals | 18 | $45.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 46 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-71175 |
|---|---|
| SEC ERA File Number | 801-71175 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 152531 |
| Legal Entity Identifier | None |
Principal Office
BELLERIVESTRASSE 67ZUERICH
Switzerland
Monday - Friday, 8 AM TO 5 PM
Tel: 011 41 43 888 6425, Fax: 011 41 43 888 6421
Websites
Chief Compliance Officer
OTTO HUEPPI
CEO
BELLERIVESTRASSE 67
ZURICH
Switzerland
Tel:
011 41 43 888 6425
O**********@***************M
(Full email address available in API data)
Regulatory Contact
THOMAS HUEGI
INDEPENDENT RISK MANAGER
STOCKERSTRASSE 12
ZURICH
Switzerland
Tel:
011 41 44 377 3020
Fax:
011 41 43 888 6421
T***********@*********H
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AVALON GROUP | Foreign Entity | – | SHAREHOLDER | 11/2017 | > 75% |
| HUEPPI, OTTO, E | Individual | – | CEO | 12/2009 | < 5% |
| Baumann, Chantal | Individual | BVF HOLDING AG | OWNER | 09/2017 | > 75% |
| BVF HOLDING AG | Foreign Entity | AVALON GROUP | OWNER | 10/2022 | > 75% |
| Huegi, Thomas | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2022 | < 5% |