{"url":"https://nivawealth.com/firms/vontobel-swiss-financial-advisers-ag-130668","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/130668","regulatoryAum":11944933134,"crd":"130668","secFileNumber":"801-63660","legalName":"Vontobel Swiss Financial Advisers Ag","displayName":"Vontobel Swiss Financial Advisers Ag","website":null,"linkedinUrl":"https://www.linkedin.com/company/vontobel/","founded":null,"organization":"corporation organized in Switzerland","fiscalYearEnd":"December","headquarters":{"street":"Spluegenstrasse 5","city":"Zurich","state":"","stateName":"","country":"Switzerland","postalCode":"8022"},"tradeNames":["Vontobel Swiss Financial Advisers Ag"],"registration":{"secApproved":"3 December 2004","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":105,"advisory":60,"brokerDealerReps":1,"insuranceAgents":0,"promoters":12},"aum":{"discretionary":5385465497,"discretionaryAccounts":1959,"nonDiscretionary":6559467637,"nonDiscretionaryAccounts":1529,"wrapProgram":11944933133,"nonUsClientsPct":20,"nonAumClients":308},"clientTypes":[{"label":"Individuals (other than HNW)","clients":450,"regulatoryAum":430624412},{"label":"High-net-worth individuals","clients":1875,"regulatoryAum":9303506039},{"label":"Charitable organizations","clients":6,"regulatoryAum":76084946},{"label":"Corporations and other businesses","clients":238,"regulatoryAum":2061036479},{"label":"Other","clients":14,"regulatoryAum":73681258}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Bank Vontobel Ag","shortName":"Bank Vontobel Ag","location":"Zurich","smaAssets":2219413744}],"custodyNote":"Vontobel Swiss Financial Advisers Ag has custody of $12.31B for 2,362 clients.","otherCustodians":[],"leadership":[{"name":"Andreas Werner Marcel Delannay","title":"Chief Compliance Officer","crd":"8338726"},{"name":"Maria-Antonella Bino","title":"Director of the Board of Directors","crd":"7597912"},{"name":"Daniela Diethelm","title":"COO","crd":"8054187"},{"name":"Christian Gmuender","title":"Chairman of the Board of Directors","crd":"6775975"},{"name":"Pascal Koeppel","title":"CIO","crd":"5095172"},{"name":"Billy Obregon","title":"CEO","crd":"5560837"},{"name":"Natalie Peter","title":"Director of the Board of Directors","crd":"5846791"},{"name":"Peter Romanzina","title":"Director of the Board of Directors","crd":"7681689"},{"name":"Christian Stambach","title":"Director of the Board of Directors","crd":"7157335"},{"name":"Arturo Stoeklin","title":"Management Committee Member","crd":"7918467"}],"ownership":[{"label":"Vontobel Holding Ag","detail":"Sole shareholder in the 75% or more ownership band and a control person, since August 2022."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":4,"privateResidences":0},"listedOfficeAddresses":4,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"10100 Santa Monica BLVD. 17th Floor, Suite 1775","city":"Los Angeles"}]},{"state":"Florida","offices":1,"addresses":[{"street":"1001 Brickell Bay Drive","city":"Miami"}]},{"state":"New York","offices":1,"addresses":[{"street":"66 Hudson Boulevard","city":"New York City"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"41582388111","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":43},{"label":"U.S. government/agency bonds","percent":5},{"label":"Sovereign bonds","percent":7},{"label":"Investment grade corporate bonds","percent":10},{"label":"Securities issued by registered investment companies or business development companies","percent":7},{"label":"Cash and cash equivalents","percent":8},{"label":"Other","percent":20,"detail":"Physical Precious Metals, Structured Products"}],"privateFunds":0},"sources":{"adv1FilingDate":"4 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/130668/PDF/130668.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Vontobel Swiss Financial Advisers Ag have?","answer":"Vontobel Swiss Financial Advisers Ag has 2,583 clients and manages $11.9 billion for them, as of September 2026. They include 1,875 high-net-worth individuals, 450 other individuals and 238 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Vontobel Swiss Financial Advisers Ag offer?","answer":"Vontobel Swiss Financial Advisers Ag 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":"Which custodians does Vontobel Swiss Financial Advisers Ag use?","answer":"Vontobel Swiss Financial Advisers Ag’s separately managed account assets are held at Bank Vontobel Ag (Zurich), with $2,219,413,744. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Vontobel Swiss Financial Advisers Ag have?","answer":"Vontobel Swiss Financial Advisers Ag has 6 investment adviser representatives registered with state securities authorities, out of 105 employees, and 60 perform investment advisory functions. 1 are registered representatives of a broker-dealer and 0 are 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 Vontobel Swiss Financial Advisers Ag invest in?","answer":"At the end of its last fiscal year, Vontobel Swiss Financial Advisers Ag’s separately managed accounts held 43% exchange-traded equities, 20% physical precious metals, structured products, 10% investment grade corporate bonds, 8% cash and equivalents, 7% sovereign bonds, 7% registered funds (mutual funds, ETFs, BDCs) and 5% U.S. government and agency bonds. It advises no private funds of its own.","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 Vontobel Swiss Financial Advisers Ag?","answer":"Vontobel Swiss Financial Advisers Ag’s direct owner is Vontobel Holding Ag (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Vontobel Swiss Financial Advisers Ag get paid?","answer":"Vontobel Swiss Financial Advisers Ag is paid through a percentage of assets under management. 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"}}],"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 Wealth 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."}