Firm profile

J. Safra Sarasin Asset Management (North America) Ltd.

GENEVA, SwitzerlandCRD 292433Registration Status: ApprovedEffective since February 27, 2018SEC # 801-112502Latest ADV March 25, 2026

J. Safra Sarasin Asset Management (North America) Ltd is an SEC registered investment adviser organized as a corporation with a primary office location in Geneva, Switzerland.

Assets Under Management
$932M
Employees
7
Offices
2 offices
Total Clients
225

Associated firm names

1 name listed
  • J. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTD

Leadership

2 roles identified
CEOThomas H. Maxwell
CCOBenedetta Gambatesa

Advisory services offered

1 types reported
Portfolio management for individuals and small businesses

Fee models offered

2 types reported
Asset based fees
Other fee arrangements

Offices & Contact

Primary office

GENEVA, Switzerland

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Switzerland

GENEVAPrimary office · ZÜRICH

2 office records listed · 2 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$932Mas of March 25, 2026
Discretionary56.2%
$524M
56% of total RAUM56.2%
Non-discretionary43.8%
$408M
44% of total RAUM43.8%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentIndividuals represent 60.4% of total clients.
Top client categories% of clientsClients
1
Individuals
60.4%
136
2
Corporations
20.0%
45
3
HNWI
19.1%
43
4
Charitable
0.4%
1
Categories with <5 clients
Charitable Organizations<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$932M
Total Accounts225
10Y AUM Change+$932M

Private Funds

Private funds reported by J. Safra Sarasin Asset Management (North America) Ltd.

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees7
Clients per Employee32:1
10Y Employee Change+6 (+600.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
J. SAFRA SARASIN HOLDING AGDirect owner · Schedule AInterest in J. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTD
75%+
JS INTERNATIONAL HOLDINGS LTDIndirect owner · Schedule BInterest in SIHL FINANCE HOLDINGS (SWITZERLAND) AG
75%+
JS INTERNATIONAL HOLDINGS LTDIndirect owner · Schedule BInterest in SIHL HOLDINGS LIMITED
75%+
JS INTERNATIONAL HOLDINGS LTDIndirect owner · Schedule BInterest in JSI HOLDINGS (SWITZERLAND) AG
75%+
VICKY SAFRAIndirect owner · Schedule BInterest in JS INTERNATIONAL HOLDINGS LTD
25% to < 50%
DAVID JOSEPH SAFRAIndirect owner · Schedule BInterest in JS INTERNATIONAL HOLDINGS LTD
25% to < 50%
JACOB JOSEPH SAFRAIndirect owner · Schedule BInterest in JS INTERNATIONAL HOLDINGS LTD
25% to < 50%
SIHL HOLDINGS LIMITEDIndirect owner · Schedule BInterest in J. SAFRA SARASIN HOLDING AG
25% to < 50%
JSI HOLDINGS (SWITZERLAND) AGIndirect owner · Schedule BInterest in J. SAFRA SARASIN HOLDING AG
25% to < 50%
SIHL FINANCE HOLDINGS (SWITZERLAND) AGIndirect owner · Schedule BInterest in J. SAFRA SARASIN HOLDING AG
25% to < 50%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to J. Safra Sarasin Asset Management (North America) Ltd..

Reported ownership and control details

Form ADV · Filing date 2026-03-25 · Schedules A and B

15 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1J. SAFRA SARASIN HOLDING AGSHAREHOLDERForeign entityJ. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTD75% or moreCode EYesSHAREHOLDER01/2018Schedule APDF page 21
2ELIE VIVIEN SASSOONCHAIRMAN/DIRECTORIndividualJ. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTDLess than 5%Code NAYesCHAIRMAN/DIRECTOR01/2018Schedule APDF page 21
3JEAN-PIERRE JACQUEMOUDDIRECTORIndividualJ. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTDLess than 5%Code NAYesDIRECTOR01/2018Schedule APDF page 21
4JUERG EGLIDIRECTORIndividualJ. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTDLess than 5%Code NAYesDIRECTOR01/2018Schedule APDF page 21
5THOMAS HERBERT MAXWELLCHIEF EXECUTIVE OFFICERIndividualJ. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTDLess than 5%Code NAYesCHIEF EXECUTIVE OFFICER04/2018Schedule APDF page 21
6BENEDETTA GAMBATESACHIEF COMPLIANCE OFFICERIndividualJ. SAFRA SARASIN ASSET MANAGEMENT (NORTH AMERICA) LTDLess than 5%Code NANoCHIEF COMPLIANCE OFFICER10/2024Schedule APDF page 21
7JS INTERNATIONAL HOLDINGS LTDSHAREHOLDERForeign entitySIHL FINANCE HOLDINGS (SWITZERLAND) AG75% or moreCode EYesSHAREHOLDER09/2024Schedule BPDF page 22
8VICKY SAFRASHAREHOLDERIndividualJS INTERNATIONAL HOLDINGS LTD25% to less than 50%Code CYesSHAREHOLDER07/2017Schedule BPDF page 22
9DAVID JOSEPH SAFRASHAREHOLDERIndividualJS INTERNATIONAL HOLDINGS LTD25% to less than 50%Code CYesSHAREHOLDER07/2017Schedule BPDF page 22
10JACOB JOSEPH SAFRASHAREHOLDERIndividualJS INTERNATIONAL HOLDINGS LTD25% to less than 50%Code CYesSHAREHOLDER07/2017Schedule BPDF page 22
11SIHL HOLDINGS LIMITEDSHAREHOLDERForeign entityJ. SAFRA SARASIN HOLDING AG25% to less than 50%Code CYesSHAREHOLDER02/2025Schedule BPDF page 22
12JSI HOLDINGS (SWITZERLAND) AGSHAREHOLDERForeign entityJ. SAFRA SARASIN HOLDING AG25% to less than 50%Code CYesSHAREHOLDER02/2025Schedule BPDF page 22
13SIHL FINANCE HOLDINGS (SWITZERLAND) AGSHAREHOLDERForeign entityJ. SAFRA SARASIN HOLDING AG25% to less than 50%Code CYesSHAREHOLDER02/2025Schedule BPDF page 22
14JS INTERNATIONAL HOLDINGS LTDSHAREEHOLDERForeign entitySIHL HOLDINGS LIMITED75% or moreCode EYesSHAREEHOLDER10/2023Schedule BPDF page 22
15JS INTERNATIONAL HOLDINGS LTDSHAREHOLDERForeign entityJSI HOLDINGS (SWITZERLAND) AG75% or moreCode EYesSHAREHOLDER09/2024Schedule BPDF page 22

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 3/25/2026 9:22:14 AM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.