Efg Private Wealth Management (Americas) Corp.
- Regulatory AUM
- $2.3B
- Discretionary
- $1.9B
- Clients
- 479
- Avg AUM / client
- $4.8M
- Accounts
- 696
- Employees
- 56
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Investments (13F portfolio — 146 positions, $579,163,224)
13F period Sep 30, 2025| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Microsoft Corp | COM | $28,364,284 | 54,763 | 4.9% | 1.23% |
| 2 | Nvidia Corporation | COM | $26,700,328 | 143,104 | 4.61% | 1.16% |
| 3 | Ishares Tr | CORE S&P SCP ETF | $20,619,587 | 173,522 | 3.56% | 0.9% |
| 4 | Amazon Com Inc | COM | $17,512,464 | 79,758 | 3.02% | 0.76% |
| 5 | Jpmorgan Chase & Co. | COM | $16,536,444 | 52,425 | 2.86% | 0.72% |
| 6 | Broadcom Inc | COM | $15,109,878 | 45,800 | 2.61% | 0.66% |
| 7 | Mastercard Incorporated | CL A | $12,001,591 | 21,099 | 2.07% | 0.52% |
| 8 | Ishares Gold Tr | ISHARES NEW | $11,272,511 | 154,906 | 1.95% | 0.49% |
| 9 | Alphabet Inc | CAP STK CL C | $10,538,165 | 43,269 | 1.82% | 0.46% |
| 10 | Apple Inc | COM | $10,431,151 | 40,966 | 1.8% | 0.45% |
| 11 | Ishares Tr | IBOXX INV CP ETF | $10,371,686 | 93,045 | 1.79% | 0.45% |
| 12 | Meta Platforms Inc | CL A | $10,068,350 | 13,710 | 1.74% | 0.44% |
| 13 | Ishares Tr | MSCI EMG MKT ETF | $10,051,442 | 188,229 | 1.74% | 0.44% |
| 14 | Cme Group Inc | COM | $9,401,443 | 34,796 | 1.62% | 0.41% |
| 15 | Ishares Tr | MSCI USA VALUE | $9,082,632 | 72,632 | 1.57% | 0.39% |
| 16 | Netflix Inc | COM | $8,393,639 | 7,001 | 1.45% | 0.36% |
| 17 | Ulta Beauty Inc | COM | $7,736,513 | 14,150 | 1.34% | 0.34% |
| 18 | Danaher Corporation | COM | $7,493,038 | 37,794 | 1.29% | 0.33% |
| 19 | Ishares Tr | MSCI ACWI ETF | $7,269,489 | 52,586 | 1.26% | 0.32% |
| 20 | Union Pac Corp | COM | $6,972,411 | 29,498 | 1.2% | 0.3% |
| 21 | Vanguard Scottsdale Fds | MTG-BKD SECS ETF | $6,857,287 | 146,024 | 1.18% | 0.3% |
| 22 | Msci Inc | COM | $6,688,469 | 11,788 | 1.15% | 0.29% |
| 23 | Mcdonalds Corp | COM | $6,662,836 | 21,925 | 1.15% | 0.29% |
| 24 | Crown Castle Inc | COM | $6,573,092 | 68,122 | 1.13% | 0.29% |
| 25 | Intuit | COM | $6,342,868 | 9,288 | 1.1% | 0.28% |
Top 25 of 146 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 103 | $77.6M | 3.37% |
| High net worth individuals | 205 | $735M | 32.0% |
| Banking or thrift institutions | Fewer than 5 clients | $371M | 16.1% |
| Charitable organizations | Fewer than 5 clients | $9.8M | 0.42% |
| Corporations and other businesses | 170 | $1.1B | 48.0% |
| Other | 1 | $1.5M | 0.07% |
People (54)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Afzal, Mozamil | Director | Sep 2011 (15y) | Less than 5% | |
| Lee, James, Tak Him | Chairman | Sep 2011 (15y) | Less than 5% | |
| Cruz, Eduardo, Moliterno Da | Chief Executive Officer, Director | Mar 2017 (9y) | Less than 5% | |
| Echevarria, Victor, Manuel | Director | Jun 2021 (5y) | Less than 5% | |
| Mohorovic, Sanjin | Director | Jun 2021 (5y) | Less than 5% | |
| Borges, Leonardo, Silva | Chief Operations Officer | Apr 2023 (3y) | Less than 5% | |
| Fermin, Edwin, Andres | Chief Compliance Officer | Apr 2024 (2y) | Less than 5% | |
| Leverett, Kyle, Lawrence | Controller | Jul 2024 (2y) | Less than 5% | |
| Hans Anton Abate | Registered representative | Aug 2012 (14y) | ||
| Janet Rodriguez | Registered representative | CFA | Mar 2014 (12y) | |
| Ana Carolina Toffoli Desouza | Registered representative | Jan 2017 (10y) | ||
| Paulo Lerner | Registered representative | Jan 2017 (10y) | ||
| Rubens Ferraroni | Registered representative | Jan 2017 (10y) | ||
| Jennifer Desiree Marcelle James | Registered representative | Aug 2018 (8y) | ||
| Hugo A Baquero Velasquez | Registered representative | Aug 2019 (7y) | ||
| J Alexander Caldwell | Registered representative | Nov 2019 (7y) | ||
| Roberto Elias Gadala Maria | Registered representative | Nov 2019 (7y) | ||
| Lauro Duarte Cancela | Registered representative | Nov 2019 (7y) | ||
| Fernando Monteiro De Barros | Registered representative | Nov 2019 (7y) | ||
| Kenia Naves Rocha | Registered representative | Nov 2019 (7y) | ||
| Andres S Padilla | Registered representative | Nov 2019 (7y) | ||
| Cristina Rosibel Ulvert | Registered representative | Dec 2019 (7y) | ||
| Eric Byron Smalley | Registered representative | Dec 2019 (7y) | ||
| Luciana Ferreira Cupido Ribeiro | Registered representative | Dec 2019 (7y) | ||
| Maria Del Carmen Romero Salvade | Registered representative | Dec 2019 (7y) | ||
| Humberto Romeo Garcia | Registered representative | Jan 2020 (7y) | ||
| Paul Alberto Pestana Valeri | Registered representative | Jun 2020 (6y) | ||
| Krystal Ann Barcelo | Registered representative | Nov 2021 (5y) | ||
| Luis Roberto Prandini | Registered representative | Jan 2022 (5y) | ||
| Grace Adele Arkalji | Registered representative | Feb 2022 (4y) | ||
| Manuel I. Pimentel | Registered representative | Mar 2022 (4y) | ||
| Juan Carlos Gomez Canales | Registered representative | Mar 2023 (3y) | ||
| Julia Cioffi Santos | Registered representative | Aug 2023 (3y) | ||
| Luiz Barros | Registered representative | Sep 2023 (3y) | ||
| Michael Alan Andrews | Registered representative | Sep 2023 (3y) | ||
| Carlos Javier Gonzalez | Registered representative | Nov 2023 (3y) | ||
| Isabela Jardim | Registered representative | Jan 2024 (3y) | ||
| Carlos Fernando Meneses | Registered representative | May 2024 (2y) | ||
| Juancarlos Zamorano | Registered representative | May 2024 (2y) | ||
| Vanessa Lima | Registered representative | Dec 2024 (2y) | ||
| Alejandro A Couttenye | Registered representative | Jan 2025 (2y) | ||
| Florina Mendez Velez | Registered representative | Jan 2025 (2y) | ||
| Morris Mattout Guindi | Registered representative | Jan 2025 (2y) | ||
| Leandro Araujo | Registered representative | Feb 2025 (1y) | ||
| Raphael Caria De Freitas Pinheiro | Registered representative | CFA | Feb 2025 (1y) | |
| Felipe Sebe Lopes | Registered representative | Feb 2025 (1y) | ||
| Fernando De Carvalho Olea Costa | Registered representative | Mar 2025 (1y) | ||
| Thiago Favery | Registered representative | CFA | Mar 2025 (1y) | |
| Wendy Sanchez | Registered representative | Jun 2025 (1y) | ||
| Benny Josue Rodriguez | Registered representative | Jun 2025 (1y) | ||
| Steven Edwin Espinosa | Registered representative | Jul 2025 (1y) | ||
| Antoine S Rojo | Registered representative | Dec 2025 (1y) | ||
| Omar C Rosas | Registered representative | Dec 2025 (1y) | ||
| Carlos Alberto Salzedo Navarro | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Efg International Ag | Parent | Dec 2022 | A | 75% or more |
| Private Financial Holdings Limited | Parent | Dec 2009 | B | ≈ 7.91% – 50% via Efg European Financial Group Ltd |
| Efg European Financial Group Ltd | Parent | Dec 2009 | B | ≈ 10.55% – 50% via European Financial Group Efg (Luxembourg) Sa |
| European Financial Group Efg (Luxembourg) Sa | Parent | Dec 2009 | B | ≈ 14.06% – 50% via Efg Bank European Financial Group Sa |
| Efg Bank European Financial Group Sa | Parent | Dec 2009 | B | ≈ 18.75% – 50% via Efg International Ag |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Private Financial Holdings Limited: 75% – 100% of Efg European Financial Group Ltd × 75% – 100% of European Financial Group Efg (Luxembourg) Sa × 75% – 100% of Efg Bank European Financial Group Sa × 25% – 50% of Efg International Ag × 75% – 100% direct ≈ 7.91% – 50% of the firm
- Efg European Financial Group Ltd: 75% – 100% of European Financial Group Efg (Luxembourg) Sa × 75% – 100% of Efg Bank European Financial Group Sa × 25% – 50% of Efg International Ag × 75% – 100% direct ≈ 10.55% – 50% of the firm
- European Financial Group Efg (Luxembourg) Sa: 75% – 100% of Efg Bank European Financial Group Sa × 25% – 50% of Efg International Ag × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Efg Bank European Financial Group Sa: 25% – 50% of Efg International Ag × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.71 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A PUBLIC ORDER INDICATING THAT IT DID NOT INCLUDE ADEQUATE DISCLOSURE REGARDING THE RECEIPT OF 12B-1 FEES AND DID NOT ADEQUATELY DISCLOSE ADDITIONAL COMPENSATION RECEIVED FOR INVESTING CLIENTS IN A FUND'S 12B-1 FEE PAYING SHARE CLASS WHEN A LOWER-COST SHARE CLASS WAS AVAILABLE FOR THE SAME FUND. Status: Final Sanction Detail: $57,607.41 IN DISGORGEMENT AND $4,965.87 IN INTEREST. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO A PUBLIC ORDER INDICATING THAT IT DID NOT INCLUDE ADEQUATE DISCLOSURE REGARDING THE RECEIPT OF 12B-1 FEES AND DID NOT ADEQUATELY DISCLOSE ADDITIONAL COMPENSATION RECEIVED FOR INVESTING CLIENTS IN A FUND'S 12B-1 FEE PAYING SHARE CLASS WHEN A LOWER-COST SHARE CLASS WAS AVAILABLE FOR THE SAME FUND.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Efg Bank Ag $1.0B (44% of AUM) Mar 2026
- Pershing $964M (42% of AUM) Mar 2026
- Efg Bank & Trust (Bahamas) Ltd $315M (14% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗