Swiss SEC RIA in Zurich with internal compliance officer and set-up and external compliance advisor offers non-SEC-registered asset managers and other Swiss SEC RIAs the possibility to profit from their resources and infrastructure in handling US clients. Your own relationship managers, clients, portfolio strategies, andinvestments remain intact.


Swiss SEC RIA with book under USD 100 mn is looking to merge with a larger, independent Swiss SEC, Zurich-area preferred.

SEC registration takeover

If you are thinking about giving up your registration or are interested in merging, an independent Swiss asset manager in Zurich is looking to take over an existing SEC registration to establish its own Swiss SEC RIA.


Larger, independent Swiss SEC RIA is looking to acquire one or more smaller Swiss SEC RIAs in 2020. Particular interest in Geneva.

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