FinSA - Client Information

Based on the legal requirements of Art. 8 ff. of the Financial Services Act, we would like to supply you with this information sheet which provides an overview of ARX Capital AG (hereinafter referred to as the «Financial Institution») and its services.

A. Company Information


ARX Capital AG
Sihlstrasse 37
8001 Zurich
Phone: +41 44 244 52 80

The Financial Institution was established in December 2020.

Supervisory Authority and Audit Firm

With the new Financial Institutions Act (FinIA), financial institutions will require a license from FINMA to carry out their professional activities as portfolio managers. The financial institution already has the license from FINMA to perform the below services and is supervised by FINcontrol Suisse AG.

The financial institution is audited by audit firm Grant Thornton AG both from a regulatory and statutory obligations perspective. The addresses of FINcontrol Suisse AG and Grant Thornton AG are displayed herein below.

FINcontrol Suisse AG
General‐Guisan‐Strasse 6
6300 Zug
Phone: +41 41 763 28 20

Grant Thornton AG
Claridenstrasse 35
P.O. Box
8027 Zurich
Phone: +41 43 960 71 71


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.

Finanzombudsstelle Schweiz (FINOS)
Talstrassse 20
8001 Zurich
Phone: +41 44 552 08 00

B. Information on the offered financial services

The financial institution provides asset management services and transaction‐based investment advisory 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 does not guarantee any yield nor performance of investment activities. The investment activity can therefore lead to an appreciation in value and to a depreciation in value.

For detailed information on the material rights and obligations arising from an asset management or an investment advisory contract, please refer to the relevant contracts entered into between the financial institution and their clients.

The financial institution has the necessary licenses to perform the above services.

C. Client Segmentation

Financial service providers are required to classify their clients into a client segmentation as legally established. The Financial Services Act provides for «retail client», «professional client» and «institutional client» 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 in or opting out.

D. Information on risks and costs

General risks associated with financial instruments transactions.

The investment advisory and asset management services involve financial risks. The financial institution shall provide all clients with the «Risks Involved in Trading Financial Instruments» brochure prior to the execution of the contract. This brochure can also be found at

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 asset management agreements.

In the case of investment advice, the financial institution shall provide its retail clients with the basic information sheet of the recommended financial instrument.

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 Asset Management Agreements.

E. Information about relationships with Third Parties

In connection with the financial services offered by the financial institution, commercial relationships with third parties may exist. The acceptance of payments from third parties and their treatment are detailed governed in the respective Financial Service Agreements.

F. Information on the market offer considered

The financial institution basically 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 asset management mandates or recommended as part of investment advice.