SWISS USADVISORS LTD. of ZURICH is an SEC-registered investment adviser (CRD 158706). Regulatory assets under management: $250.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth.
| Name | Role | Location |
|---|---|---|
| Max Nmn Cotting | CEO | — |
| Roland Nmn Hansalik | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | — |
| HANSALIK ROLAND | CHIEF COMPLIANCE OFFICER | — |
| COTTING MAX | CEO | — |
| HANSALIK ROLAND NMN | CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | — |
| COTTING MAX NMN | CEO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2010-07-15 | regulatory | FAILURE TO COMPLY WITH AN ARBITRATION AWARD. THE ARBITRATION AWARD WAS LATER VACATED BY THE SUPERIOR COURT OF CALIFORNIA. | Final | — |