Allocation, and
Real Estate Planning. When providing financial planning and consulting services, my role is to find ways
to help you understand your
overall financial situation and help you set financial
objectives. Written
financial plans prepared by me do not include specific recommendations of individual securities.
I also offer consultations in order to discuss financial planning issues when you do not need a written
financial plan. I offer a one-time consultation, which covers mutually agreed upon areas of concern
related to investments or financial planning. I also offer “as-needed” consultations, which are limited to
consultations in response to a particular investment or financial planning issue raised or request made by
you. Under an “as-needed” consultation, it will be incumbent upon you to identify those particular issues
for which you are seeking my advice or consultation on.
My financial planning and consulting services do not involve implementing any transaction on your behalf
or the active and ongoing monitoring or management of your investments or accounts. You have the sole
responsibility for determining whether to implement my financial planning and consulting
recommendations. To the extent that you would like to implement any of my investment
recommendations through Swiss Alpine Wealth Management or retain Swiss Alpine Wealth Management
to actively monitor and manage your investments, you must execute a separate written agreement with
Swiss Alpine Wealth Management for our asset management services.
Limits Advice to Certain Types of Investments
Swiss Alpine Wealth Management provides investment advice on the following types of investments:
• Mutual Funds
• Exchange Traded Funds (ETFs)
• Exchange-listed Securities
• Securities Traded Over-the-Counter
• Foreign Issues
• Warrants
• Corporate Debt Securities
• Commercial Paper
Swiss Alpine Wealth Management LLC Page 6 Form ADV Part 2A Disclosure Brochure
• Certificates of Deposit
• Municipal Securities
• Variable Annuities
• Variable Life Insurance
• US Government Securities
• Options Contracts on Securities
• Options Contracts on Commodities
• Futures Contracts on Tangibles
• Interests in Partnerships Investing in Real Estate
• Securities Properly Exempted from Registration
• Hedge Funds
Although I generally provide advice only on the products previously listed, I reserve the right to offer
advice on any investment product that may be suitable for each client’s specific circumstances, needs,
goals and objectives.
It is not my typical investment strategy to attempt to time the market, but I may increase cash holdings
modestly as deemed appropriate based on your risk tolerance and our expectations of market behavior. I
may modify my investment strategy to accommodate special situations such as low basis stock, stock
options, legacy holdings, inheritances, closely held businesses, collectibles, or special tax situations.
(Please refer to Item 8 – Methods of Analysis, Investment Strategies and Risk of Loss for more
information.)
Tailor Advisory Services to Individual Needs of Clients
Swiss Alpine Wealth Management’s advisory services are always provided based on your individual
needs. This means, for example, that when I provide asset management services, you are given the
ability to impose restrictions on the accounts I manage for you, including specific investment selections
and sectors. I work with you on a one-on-one basis through interviews and questionnaires to determine
your investment objectives and suitability information. My financial planning and consulting services are
always provided based on your individual needs. When providing financial planning and consulting
services, I work with you on a one-on-one basis through interviews and questionnaires to determine your
investment objectives and suitability information.
I will not enter into an investment adviser relationship with a prospective client whose investment
objectives may be considered incompatible with my investment philosophy or strategies or where the
prospective client seeks to impose unduly restrictive investment guidelines.
Client Assets Managed by Swiss Alpine Wealth Management
As of March 2, 2024, Swiss Alpine Wealth Management managed $1,238,926 in discretionary assets and
$0 in non-discretionary assets under management.