Sequoia Swiss Financial Advisors Ag (Zurich)


Sequoia Swiss Financial Advisors Ag is a large advisory firm based in Zurich. It manages $121.21 million of regulatory assets for 90 client accounts. It has been registered with the SEC as an adviser since 2011.

Sequoia Swiss Financial Advisors Ag provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sequoia Swiss Financial Advisors Ag: assets under management

The assets under management (AUM) of Sequoia Swiss Financial Advisors Ag is $121.21 million. The firm's AUM has gone down by -31% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $63.1 million in discretionary accounts and $58.11 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.19 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.57 million.

Investments

The firm invests in exchange traded securities the most. They account for 48% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 18% of the firm’s portfolio. Investments in investment grade corporate bonds form 14% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Sequoia Swiss Financial Advisors Ag for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Sequoia Swiss Financial Advisors Ag serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Sequoia Swiss Financial Advisors Ag is high net worth individuals with 65 clients and $110.11 million of assets under management. Among the 13 most similar advisory firms, Sequoia Swiss Financial Advisors Ag has the 2nd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $121.21 million for 90 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Sequoia Swiss Financial Advisors Ag doesn't advise any private funds.

Careers at Sequoia Swiss Financial Advisors Ag

The company employs 1 person that is either a part- or full-time employee. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Thomas Walter Lehmann Chief compliance officer, ceo 1 Mar 2011 25% - 50% 5955018
Hanno Hermann Huber Shareholder 1 Mar 2011 25% - 50% 5971355
Thomas W. Lehmann Chief compliance officer 1 Mar 2011 25% - 50% 5955018
Hanno H. Huber Shareholder 1 Mar 2011 Other 5971355
Gilbert Zellweger Shareholder 1 Mar 2011 Other 5971357
Talking Stick Ag Shareholder 1 Mar 2011 Other crd no.
Gilbert Nmn Zellweger Shareholder 1 Mar 2011 Other 5971357
Procent Concept Ag Shareholder 1 Dec 2012 Other foreign
Sequoia S.F.A. Treasury stock 1 Jun 2015 Other 158031

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Hans Rudolf Schuhmacher Shareholder 1 Feb 2011 75% - 100% 5971360
Hans Rudolf Nmn Schuhmacher Shareholder 1 Feb 2011 75% - 100% 5971360
Hans Rudolf Nmn Schuhmacher Shareholder 1 Dec 2012 75% - 100% 5971360

Based in Zurich

The principal office where Sequoia Swiss Financial Advisors Ag performs its advisory services is located at Weinplatz 7, Zurich, 8001, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 41 44 575 22 20 or by fax 41 44 575 22 29. The normal business hours are 8:30 - 17:00 on Monday - Friday. You can find more information about the New York firm at sequoia-sfa.ch.