{"url":"https://nivawealth.com/firms/j-safra-sarasin-asset-management-north-america-292433","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/292433","regulatoryAum":931943670,"crd":"292433","history":[{"filedOn":"2021-03-30","regulatoryAum":268056116,"clients":55,"employees":3,"offices":1},{"filedOn":"2022-03-15","regulatoryAum":398000000,"clients":89,"employees":4,"offices":1},{"filedOn":"2023-03-30","regulatoryAum":335941685,"clients":117,"employees":4,"offices":1},{"filedOn":"2024-03-26","regulatoryAum":651032374,"clients":120,"employees":4,"offices":1},{"filedOn":"2025-04-30","regulatoryAum":913790953,"clients":206,"employees":9,"offices":2},{"filedOn":"2026-03-25","regulatoryAum":931943670,"clients":225,"employees":7,"offices":2}],"secFileNumber":"801-112502","legalName":"J. Safra Sarasin Asset Management (North America) LTD","displayName":"J. 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Safra Sarasin Ag.","shortName":"Bank J. Safra Sarasin Ag.","location":"Basel","smaAssets":879459982}],"custodyNote":"J. Safra Sarasin Asset Management (North America) has custody of $879M in client assets for 203 clients.","otherCustodians":[],"leadership":[{"name":"Thomas Maxwell","title":"Chief Executive Officer","crd":"6262289"},{"name":"Benedetta Gambatesa","title":"Chief Compliance Officer","crd":"8044932"},{"name":"Juerg Egli","title":"Director","crd":"5273300"},{"name":"Jean-Pierre Jacquemoud","title":"Director","crd":"6905177"},{"name":"Elie Sassoon","title":"Chairman/Director","crd":"6905176"}],"ownership":[{"label":"J. Safra Sarasin Holding Ag","detail":"Shareholder in the 75% or more ownership band and a control person, since January 2018."},{"label":"JS International Holdings LTD","detail":"Indirect owner: a shareholder of Sihl Finance Holdings (Switzerland) Ag in the 75% or more band and a control person, since September 2024. Also a shareeholder of Sihl Holdings Limited in the 75% or more band and a control person, since October 2023. Also a shareholder of Jsi Holdings (Switzerland) Ag in the 75% or more band and a control person, since September 2024.","parent":"Sihl Finance Holdings (Switzerland) Ag"},{"label":"Vicky Safra","detail":"Indirect owner: a shareholder of JS International Holdings LTD in the 25% to 50% band and a control person, since July 2017.","parent":"JS International Holdings LTD"},{"label":"David Safra","detail":"Indirect owner: a shareholder of JS International Holdings LTD in the 25% to 50% band and a control person, since July 2017.","parent":"JS International Holdings LTD"},{"label":"Jacob Safra","detail":"Indirect owner: a shareholder of JS International Holdings LTD in the 25% to 50% band and a control person, since July 2017.","parent":"JS International Holdings LTD"},{"label":"Sihl Holdings Limited","detail":"Indirect owner: a shareholder of J. Safra Sarasin Holding Ag in the 25% to 50% band and a control person, since February 2025.","parent":"J. Safra Sarasin Holding Ag"},{"label":"Jsi Holdings (Switzerland) Ag","detail":"Indirect owner: a shareholder of J. Safra Sarasin Holding Ag in the 25% to 50% band and a control person, since February 2025.","parent":"J. Safra Sarasin Holding Ag"},{"label":"Sihl Finance Holdings (Switzerland) Ag","detail":"Indirect owner: a shareholder of J. Safra Sarasin Holding Ag in the 25% to 50% band and a control person, since February 2025.","parent":"J. Safra Sarasin Holding Ag"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[{"city":"ZURICH","country":"Switzerland","postalCode":"8002","street":"ALFRED-ESCHER-STRASSE 50","display":{"city":"ZURICH","region":null,"postalCode":"8002","ruleVersion":"office-display-1"}}],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"41583176400","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":62},{"label":"U.S. government/agency bonds","percent":4},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":5},{"label":"Non-investment grade corporate bonds","percent":2},{"label":"Cash and cash equivalents","percent":11},{"label":"Other","percent":15,"detail":"Exchange Traded Funds and Precious Metals, Commodities, Private Equity"}],"privateFunds":0},"sources":{"adv1FilingDate":"25 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/292433/PDF/292433.pdf","brochureDate":"25 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1025442","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does J. Safra Sarasin Asset Management (North America) have?","answer":"J. Safra Sarasin Asset Management (North America) has 225 clients and manages $932 million for them, as of March 2026. They include 136 individual clients, 45 corporations and other businesses, and 43 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does J. Safra Sarasin Asset Management (North America) offer?","answer":"J. Safra Sarasin Asset Management (North America) provides portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does J. Safra Sarasin Asset Management (North America) charge?","answer":"J. Safra Sarasin Asset Management (North America) charges 1.00% a year for its Advisory Fee. The fee is billed in arrears and is negotiable.","source":"JSSAMNA- FORM-ADV-PART-2A, filed 25 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does J. Safra Sarasin Asset Management (North America) use?","answer":"J. Safra Sarasin Asset Management (North America)’s separately managed account assets are held at Bank J. Safra Sarasin Ag. (Basel), with $879M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does J. Safra Sarasin Asset Management (North America) have?","answer":"J. Safra Sarasin Asset Management (North America) has 0 investment adviser representatives registered with state securities authorities, out of 7 employees, and 5 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does J. Safra Sarasin Asset Management (North America) invest in?","answer":"At the end of its last fiscal year, J. Safra Sarasin Asset Management (North America)’s separately managed accounts held 62% exchange-traded equities, 15% other, 11% cash and equivalents, 5% investment grade corporate bonds, 4% U.S. government and agency bonds, 2% high-yield corporate bonds and 1% sovereign bonds. The 15% other category is described as: Exchange Traded Funds and Precious Metals, Commodities, Private Equity.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns J. Safra Sarasin Asset Management (North America)?","answer":"J. Safra Sarasin Asset Management (North America) is owned through a chain of holding companies by Vicky and David and Jacob Safra, Sihl Holdings Limited, and Jsi Holdings (Switzerland) Ag. Its direct owner is J. Safra Sarasin Holding Ag (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does J. Safra Sarasin Asset Management (North America) get paid?","answer":"J. Safra Sarasin Asset Management (North America) is paid through a percentage of assets under management and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact J. Safra Sarasin Asset Management (North America)?","answer":"J. Safra Sarasin Asset Management (North America)’s main office is at Rue De La Corraterie 4, Geneva, Switzerland 1204. Its phone number is 41583176400.","source":"Form ADV Part 1A, Item 1.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}