Swiss Alpine Wealth Management is an investment adviser registered with the United States Securities and Exchange Commission (“SEC”) and is a limited liability company (LLC) formed under the laws of the State of Delaware, however, Swiss Alpine Wealth Management does not maintain offices in the United States and its principal office and place of business is located in Leysin, Switzerland.
• Nathan Pugh is the managing member and Chief Compliance Office of Swiss Alpine Wealth Management. Nathan Pugh owns 100% of Swiss Alpine Wealth Management.
• Swiss Alpine Wealth Management filed its initial application to become registered as an investment adviser in July 2015. Introduction The investment advisory services of Swiss Alpine Wealth Management are provided to you through an appropriately licensed and qualified individual who is an investment adviser representative of Swiss Alpine Wealth Management (referred to as your investment adviser representative throughout this brochure). Description of Advisory Services The following are descriptions of the primary advisory services of Swiss Alpine Wealth Management. Please understand that a written agreement, which details the exact terms of the service, must be signed by you and Swiss Alpine Wealth Management before I can provide you the services described below. Asset Management Services – Swiss Alpine Wealth Management offers asset management services, which involves Swiss Alpine Wealth Management providing you with continuous and ongoing supervision over your specified accounts. You must appoint my firm as your investment adviser of record on specified accounts (collectively, the “Account”). The Account consists only of separate account(s) held by qualified custodian(s) under your name. The qualified custodians maintain physical custody of all funds and securities of the Account, and you retain all rights of ownership (e.g., right to withdraw securities or cash, exercise or delegate proxy voting and receive transaction confirmations) of the Account. The Account is managed by me based on your financial situation, investment objectives and risk tolerance. I actively monitor the Account and provide advice regarding buying, selling, reinvesting or holding securities, cash or other investments of the Account. I will need to obtain certain information from you to determine your financial situation and investment objectives. You will be responsible for notifying me of any updates regarding your financial situation, risk tolerance or investment objective and whether you wish to impose or modify existing investment restrictions; however, I will contact you at least annually to discuss any changes or updates regarding your financial situation, risk tolerance or investment objectives. I am always reasonably available to consult with you relative to the status of your Account. You have the ability to impose reasonable restrictions on the management of your accounts, including the ability to instruct me not to purchase certain securities. Swiss Alpine Wealth Management LLC Page 5 Form ADV Part 2A Disclosure Brochure It is important that you understand that I manage investments for other clients and may give them advice or take actions for them or for my personal accounts that is different from the advice I provide to you or actions taken for you. I am not obligated to buy, sell or recommend to you any security or other investment that I may buy, sell or recommend for any other clients or for my own accounts. Conflicts may arise in the allocation of investment opportunities among accounts that I manage. I strive to allocate investment opportunities believed to be appropriate for your account(s) and other accounts advised by my firm among such accounts equitably and consistent with the best interests of all accounts involved. However, there can be no assurance that a particular investment opportunity that comes to my attention will be allocated in any particular manner. If I obtain material, non-public information about a security or its issuer that I may not lawfully use or disclose, I have absolutely no obligation to disclose the information to any client or use it for any client’s benefit. Financial Planning & Consulting Services - Swiss Alpine Wealth Management offers financial planning services, which involve preparing a written financial plan covering specific or multiple topics. I provide full written financial plans, which typically address the following topics: Investment Planning, Retirement Planning, Insurance Planning, Tax Planning, Education Planning, Portfolios Review, Asset

Allocation, and Real Estate Planning. When providing financial planning and consulting services, my role is to find ways to help you understand your overall financial situation and help you set financial objectives. Written financial plans prepared by me do not include specific recommendations of individual securities. I also offer consultations in order to discuss financial planning issues when you do not need a written financial plan. I offer a one-time consultation, which covers mutually agreed upon areas of concern related to investments or financial planning. I also offer “as-needed” consultations, which are limited to consultations in response to a particular investment or financial planning issue raised or request made by you. Under an “as-needed” consultation, it will be incumbent upon you to identify those particular issues for which you are seeking my advice or consultation on. My financial planning and consulting services do not involve implementing any transaction on your behalf or the active and ongoing monitoring or management of your investments or accounts. You have the sole responsibility for determining whether to implement my financial planning and consulting recommendations. To the extent that you would like to implement any of my investment recommendations through Swiss Alpine Wealth Management or retain Swiss Alpine Wealth Management to actively monitor and manage your investments, you must execute a separate written agreement with Swiss Alpine Wealth Management for our asset management services. Limits Advice to Certain Types of Investments Swiss Alpine Wealth Management provides investment advice on the following types of investments:
• Mutual Funds
• Exchange Traded Funds (ETFs)
• Exchange-listed Securities
• Securities Traded Over-the-Counter
• Foreign Issues
• Warrants
• Corporate Debt Securities
• Commercial Paper Swiss Alpine Wealth Management LLC Page 6 Form ADV Part 2A Disclosure Brochure
• Certificates of Deposit
• Municipal Securities
• Variable Annuities
• Variable Life Insurance
• US Government Securities
• Options Contracts on Securities
• Options Contracts on Commodities
• Futures Contracts on Tangibles
• Interests in Partnerships Investing in Real Estate
• Securities Properly Exempted from Registration
• Hedge Funds Although I generally provide advice only on the products previously listed, I reserve the right to offer advice on any investment product that may be suitable for each client’s specific circumstances, needs, goals and objectives. It is not my typical investment strategy to attempt to time the market, but I may increase cash holdings modestly as deemed appropriate based on your risk tolerance and our expectations of market behavior. I may modify my investment strategy to accommodate special situations such as low basis stock, stock options, legacy holdings, inheritances, closely held businesses, collectibles, or special tax situations. (Please refer to Item 8 – Methods of Analysis, Investment Strategies and Risk of Loss for more information.) Tailor Advisory Services to Individual Needs of Clients Swiss Alpine Wealth Management’s advisory services are always provided based on your individual needs. This means, for example, that when I provide asset management services, you are given the ability to impose restrictions on the accounts I manage for you, including specific investment selections and sectors. I work with you on a one-on-one basis through interviews and questionnaires to determine your investment objectives and suitability information. My financial planning and consulting services are always provided based on your individual needs. When providing financial planning and consulting services, I work with you on a one-on-one basis through interviews and questionnaires to determine your investment objectives and suitability information. I will not enter into an investment adviser relationship with a prospective client whose investment objectives may be considered incompatible with my investment philosophy or strategies or where the prospective client seeks to impose unduly restrictive investment guidelines. Client Assets Managed by Swiss Alpine Wealth Management As of March 2, 2024, Swiss Alpine Wealth Management managed $1,238,926 in discretionary assets and $0 in non-discretionary assets under management.