About the firm

A single-partner advisory practice — with a fifteen-year research heritage behind it.

Swisstocks was founded in Nyon in 2011 as a research project publishing free fact sheets on unlisted Swiss small and mid caps — mostly in the energy sector. Over fifteen years, more than seventy portraits were written in a uniform, source-disciplined pattern.

Today, Swisstocks operates as an independent risk-consultancy boutique, focused on Governance, Risk and Regulatory Compliance for medium-sized Swiss financial institutions — banks, fund managers, asset managers and investment boutiques. The research archive remains public as reference material.

The practice is deliberately senior and small: every mandate is scoped, delivered and defended by the same person. No sub-contracting, no billed juniors, no handover risk.

Operating principles

  1. 01
    Senior delivery only

    One senior consultant, from scoping to sign-off. No pyramids.

  2. 02
    Regulator-fluent

    Frameworks that speak the language of FINMA, internal audit and the Board.

  3. 03
    Findings-defensible

    Every deliverable withstands four-eyes review and audit challenge.

  4. 04
    Discreet

    NDAs on day one. Client work is never referenced without written consent.

  5. 05
    Independent

    No audit conflicts. No product tie-ins. No commissions.