SWISS USADVISORS
SWISS USADVISORS LTD. Legal Name
Adviser information for SWISS USADVISORS last updated from Form ADV on May 15th, 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 | DECEMBER |
| Legal Location | Switzerland |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 100 | $250.0M |
| Non-Discretionary | 0 | $0 |
| Total | 100 | $250.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 100 | $250.0M |
| 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 | 100 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-72787 |
|---|---|
| SEC ERA File Number | 801-72787 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 158706 |
| Legal Entity Identifier | None |
Principal Office
FRAUMUENSTERSTRASSE 13ZURICH
Switzerland
Monday - Friday, 9:00 - 5:00
Tel: 41 58 680 36 44, Fax: None
Websites
Chief Compliance Officer
ALBERT FREHNER
CHIEF COMPLIANCE OFFICER
FRAUMUENSTERSTRASSE 13
ZURICH
Switzerland
Tel:
41 44533 0710
A*************@******************H
(Full email address available in API data)
Regulatory Contact
ROLAND HANSALIK
CEO
FRAUMUENSTERSTRASSE 13
ZURICH
Switzerland
Tel:
41 58 680 36 44
R**************@******************H
(Full email address available in API data)
Industry Affiliates
| AQUILA HIMCO AG | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HANSALIK, ROLAND, NMN | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 09/2011 | > 75% |
| AQUILA & CO. AG | Foreign Entity | – | OWNER | 09/2011 | 10-25% |
| COTTING, MAX, NMN | Individual | AQUILA & CO. AG | CEO | 12/2004 | > 75% |