AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.3 |
| Non-Discretionary | $0.6 |
| Total | $0.9 |
| Client | AUM |
|---|---|
| Retail | $0.9 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 173 | $0.2 |
| Average Individual AUM | $949,236 | |
| HNW | 32 | $0.7 |
| Average HNW AUM | $23,345,382 | |
| Retail Total | 205 | $0.9 |
| Average Retail AUM | $4,445,220 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| BANK J. SAFRA SARASIN AG. | BASEL--CHE | $0.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.9 |
| Retail SMA AUM | $0.9 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 74% | $0.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 4% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 1% | $0.0 |
| IG Credit | 5% | $0.0 |
| HY Credit | 2% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 11% | $0.1 |
| Other | 2% | $0.0 |
| Total | 99% | $0.9 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| BANK J. SAFRA SARASIN AG | $0.0 | broker-dealer | - |
| SAFRA SECURITIES LLC | $0.0 | broker-dealer | 47873 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
12 active
| Name | Title |
|---|---|
| SASSOON, ELIE, VIVIEN | CHAIRMAN/DIRECTOR |
| JACQUEMOUD, JEAN-PIERRE | DIRECTOR |
| EGLI, JUERG | DIRECTOR |
| SAFRA, VICKY | SHAREHOLDER |
| SAFRA, DAVID, JOSEPH | SHAREHOLDER |
| SAFRA, JACOB, JOSEPH | SHAREHOLDER |
| MAXWELL, THOMAS, HERBERT | CHIEF EXECUTIVE OFFICER |
| MENNA, COSTANTINO | CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-04-21 | $0.9 | $0.0 | 0% | 9 | 0 | 0% |
| 2024-04-02 | $0.7 | $0.3 | 40% | 4 | 5 | 125% |
| 2023-04-04 | $0.3 | $0.6 | 172% | 4 | 5 | 125% |
| 2022-04-01 | $0.4 | $0.5 | 130% | 4 | 5 | 125% |
| 2021-04-05 | $0.3 | $0.6 | 241% | 3 | 6 | 200% |
| 2020-04-01 | $0.2 | $0.7 | 372% | 3 | 6 | 200% |
| 2019-04-01 | $0.1 | $0.8 | 740% | 3 | 6 | 200% |
| 2018-04-02 | $0.0 | $0.0 | 0% | 1 | 8 | 800% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| CA-03/30/2020, CT-03/28/2025, FL-03/30/2020, GA-03/28/2025, MA-03/30/2023, MD-03/30/2023, NV-03/28/2025, NY-03/30/2020, VA-03/28/2025 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV