FinSA Client information

Based on the legal requirements of Art. 8ff. of the Financial Services Act (FinSA), we would like to supply you with this information sheet which provides an overview of Adventus Capital AG (hereinafter referred to as the “financial institution”) and its services. 

A.     Company information

Address

Street: Tödistrasse 61

Zip Code/City: 8002, Zürich

Website: www.adventuscap.com

The financial institution was established in 2023. 

Supervisory authority and audit firm

With the new Financial Institutions Act (FinIA), all financial service providers need a license from FINMA to carry out their professional activities as a portfolio manager according to FinIA Art. 17. The financial institution submitted the application to the competent licensing authorities in November 2023 obtaining the final license confirmation on the 28th of February 2024. The authorization status can be found on the homepage.

The financial institution is audited and reviewed by the auditing company SWA Swiss Auditors AG  both in terms of supervisory law and in terms of obligations. The address of the AOOS and SWA Swiss Auditors AG can be found below.

Supervisory organization: AOOS

Street: Clausiusstrasse 50

Zip Code / City: 8006 Zürich

Website: https://www.aoos.ch/

Audit Firm Name: SWA Swiss Auditors

Address: Bahnhofstrasse 3

Zip Code / City: 8808 Freienbach

Website: https://swa-audit.ch/

 

Ombudsman

The financial institution is affiliated with the independent ombudsman FINOS, which is recognized by the Federal Department of Finance. Disputes concerning legal claims between the client and the financial services provider should be settled by an ombudsman's office, if possible, within the framework of a mediation procedure. The address of FINOS is stated below.

Name Ombudsman:FINOS

Address: Talstrasse 20

Zip Code / City: 8001 Zürich

Website: https://www.finos.ch/

B.     Information on the offered financial services

The financial institution provides portfolio management services, portfolio-based and transaction-based investment advisory services as well as execution-only services to its clients.

In the case of a transaction-based investment advisory mandate with the financial institution, a personal recommendation relating to individual financial instruments is provided to the client. The decision to buy or sell remains always ultimately with the client.

The financial institution also provides advisory financial services to collective investment schemes.

The financial institution wholly owns a SICAV-RAIF umbrella structure fund based in Luxembourg, which provides investment services for its Endowment Strategy. Additionally, a wholly owned UK Nominee has been established to facilitate a dedicated co-investment.

The financial institution does not guarantee any yield nor performance of investment activities. The investment activity can therefore lead to an appreciation or a depreciation in value.

The financial institution has all the necessary licences to perform the services described above.

 

C.     Client segmentation

Financial service providers are required to classify their clients into a client segmentation according to the law and adhere to the respective code-of-conduct. The Financial Services Act provides for «retail clients», «professional clients» and «institutional clients» segments. For each client, a client classification is determined within the framework of the cooperation with the financial institution. Subject to certain conditions, the client may change the client classification by opting out.

 

D.    Information on risks and costs

General risks associated with financial instruments transactions

The investment advisory and portfolio management services involve financial risks. The financial institution shall provide all clients with the «Risks associated with Financial Instruments Transactions» brochure prior to the execution of the contract. This brochure can also be found at www.swissbanking.org.

Clients of the financial institution may contact their client advisor at any time if they have any further questions.

Risks associated with the offered services

For a description of the various risks that may arise from the investment strategy for clients’ assets, please refer to the relevant investment advisory or portfolio management agreements.

Information on costs

A fee is charged for the services rendered, which is usually calculated on the assets under management and/or on a performance basis. For more detailed information, please refer to the relevant investment advisory or portfolio management agreements.

E.     Information about relationships with third parties

In connection with the financial services offered by the financial institution, economic ties may exist with third parties. The acceptance of payments from third parties as well as their treatment are regulated in detail and comprehensively in the respective investment advisory and portfolio management contracts.

 

F.     Information on the market offer considered

The financial institution follows an «open universe approach» and tries to make the best possible choice for the client when selecting financial instruments. The financial institution's own collective investments can – where appropriate – be used in the portfolio management mandates or recommended as part of investment advice.