Alpen Partners International AG

Form ADV Part 3 – Client Relationship Summary (Form CRS)

August 5th, 2020

Item 1: Introduction

Alpen Partners International AG (“API” or “we”) is registered with the Securities and Exchange Commission (“SEC”) as an Investment Adviser, CRD 291759.
Investment advisory and brokerage services and fees differ and it is important for retail investors to understand the differences. Free and simple tools are available to research firms and financial professionals at https://www.investor.gov/CRS, which also provides educational materials about investment advisers, broker-dealers and investing.

Item 2: Relationships and Services

What investment services and advice can you provide me?

Description of Services: We provide investment advisory services to high and ultra-high net worth individuals and their families as well as to foundations, trusts and estate planning structures which they may have established. We offer advisory accounts that allow us to buy and sell investments in your account without asking or notifying you in advance (a “discretionary account”) or we may give you advice and you decide what investments to buy and sell (a “non-discretionary account”). Our investments and investment proposals are guided by the investment strategy which we define together with you and which is tailored to your particular requirements, and by the restrictions you might impose. We also offer investment consolidation and reporting services for clients with financial accounts at more than one financial institution. We prefer that you invest a minimum of $500,000 with us. Related accounts can be aggregated. Our Client Advisers review your investments regularly, but at least quarterly as part of our standard services.

Additional information: please see Form ADV, Part 2A Brochure (Items 4, 7 and 13).

Conversation Starters: Ask your financial professional:

  • Given my financial situation, should I choose an investment advisory service? Why or why not?
  • How will you choose investments to recommend to me?
  • What is your relevant experience, including licenses, education, and other qualifications? What do these qualifications mean?

Item 3: Fees, Costs, Conflicts and Standard of Conduct

What fees will I pay?

Our annual fees for discretionary portfolios range from 0.40% to 1.25% of the market value of the assets in the account. For non-discretionary accounts they depend on the size and complexity of the mandate with a maximum rate at 1.50% of the market value of the assets in the account. The fee is charged quarterly at the end of each quarter. For the fee calculation we use two general principles: A daily calculation or a measurement with reference to the average of the closing account balances for the last business day of each month within the respective quarter. This fee model causes a conflict of interest since more assets in your advisory account mean more fees thus our firm may have an incentive to encourage you to increase your assets in the account. We may enter into performance based fee arrangements with qualified clients, subject to individualized agreements. Our annual fees for consolidation and reporting services range from 0.05% to 0.20% of the consolidated assets.
Our fees do not include custodian fees, fees for trade settlement, brokerage commissions, or taxes, nor management or other fees charged by funds and other transactional fees and product-level fees.
You will pay fees and costs whether you make or lose money on your investments. Fees and costs will reduce any amount of money you make on your investments over time. Please make sure you understand what fees and costs you are paying.

Additional information: More detailed information about our fees are available in our Form ADV, Part 2A Brochure (Items 5 and 6)

Conversation Starter: Ask your financial professional:

  • Help me understand how these fees and costs might affect my investments?
  • If I give you USD 10,000 to invest, how much will go to fees and cost, and how much will be invested for me?

What are your legal obligations to me when acting as my investment adviser? How else does your firm make money and what conflicts of interest do you have?

When we act as your investment adviser, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. Here are some examples to help you understand what this means.

Employee’s personal trading activities or outside business interests can conflict with the trading activities and interest for your account. Employees can take improper advantage of material, non-public information arising from client relationships enabling employees to trade in advance of client trades. Gifts and entertainments can induce an employee to preferential treatment of a specific client.

Additional information: please see Form ADV, Part 2A brochure Items 10 and 11.

Conversation Starter: Ask your financial professional:

  • How might your conflicts of interest affect me, and how much will you address them?

How do your financial professionals make money?

Our financial professionals are compensated on a fixed salary model and may receive additional compensation such as bonus payments and similar incentives. However, such additional compensation is based on assets under management and not on account performance or trading activity.

Item 4: Disciplinary History

Do you or your financial professionals have legal or discipline history?

No. Visit https://www.investor.gov/CRS for free and simple search tools to research us and our financial professionals.

Conversation Starter: Ask your financial professional:

  • As a financial professional, do you have any disciplinary history?
  • For what type of conduct?

Item 5: Additional Information

You can obtain additional information on our website www.alpeninternational.com or visit Investment Adviser Public Disclosure website https://adviserinfo.sec.gov/.
Call +41 58 105 75 50 to request up-to-date information or a copy of the relationship summary.

Conversation Starter: Ask your financial professional:

  • Who is my primary contact person?
  • Is he or she representative of an investment adviser or a broker-dealer?
  • Who can I talk to if I have concerns about how this person is treating me?