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
- 01Senior delivery only
One senior consultant, from scoping to sign-off. No pyramids.
- 02Regulator-fluent
Frameworks that speak the language of FINMA, internal audit and the Board.
- 03Findings-defensible
Every deliverable withstands four-eyes review and audit challenge.
- 04Discreet
NDAs on day one. Client work is never referenced without written consent.
- 05Independent
No audit conflicts. No product tie-ins. No commissions.
