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Baseline & Alpenrose Wealth Management International SA
Form ADV Part 3 – Client Relationship Summary (Form CRS)
June 16th, 2021
Item 1: Introduction
Baseline & Alpenrose Wealth Management International SA (“Baseline Wealth Management” or “we”) is registered with the Securities and Exchange Commission (“SEC”) as an investment adviser. Baseline Wealth Management is the name under which Baseline & Alpenrose Wealth Management International SA primarily conduct its advisory business. Brokerage and investment advisory services and fees differ and it is important for retail investors (“you”) to understand the difference. Free and simple tools are available to research firms and financial professionals at https://investor.gov/CRS, which also provides educational materials about broker-dealers, investment advisers, and investing.
Item 2: Relationships and Services
What investment services and advice can you provide me?
Description of Services: Baseline Wealth Management offers investment advisory services to retail investors through a discretionary or a non-discretionary investment management account. We do not custody or take possession of your assets. In a discretionary account, we have the ability to make decisions to buy and sell securities in your account without permission when managing your account. You may limit our discretion by directing us to retain certain positions, or limit or exclude investment in certain asset classes, sectors, industries or individual securities. In a non-discretionary account, prior to each securities transaction, we obtain approval from you before executing any buy or sell order.
As part of our standard advisory services, we monitor the securities held in your account(s) on an ongoing basis. We formally review each client account at least annually. This review is a standard part of the asset-based fee you pay. You are responsible to inform us of any changes in your investment objectives and/or financial situation. Our investment models are based on allocations to stocks, bonds and/or cash. We use mutual funds and/or exchange traded funds to diversify your portfolio and when appropriate, to invest in specialized market sectors.
Account Opening Requirements: Baseline Wealth Management requires you to sign a written Investment Management Agreement (“Agreement”) which authorizes us to manage investments on your behalf. You may cancel the Agreement at any time. Baseline Wealth Management’s minimum account size for an Investment Management Account is USD 500,000, but we will accept accounts of lower value at our discretion.
Additional information: please see Form ADV, Part 2A brochure Items 4 and 7.
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?
Fees are computed as a percentage of the market value of assets under management as of the last day of each calendar quarter. Market value is based on trade date valuation and includes accrued interest and cash. Our standard fee schedule is tiered based on the amount of assets you invest with us. The more assets we manage for you, the greater our fee and so we have an incentive to encourage you to increase account assets.
Our investment management services are continuous but may be terminated at any time by either party upon written notice. The fee will be pro-rated based upon the number of days that the Agreement was in place during the quarter. You may incur brokerage commissions, transaction fees, and administrative charges imposed by custodians, broker-dealers and other third parties. We may occasionally use mutual funds or exchange-traded funds to fill specific portfolio needs. If we use these funds, you will incur the fund’s management and administrative fees, plus our management fees.
You pay our fees even if you do not have any transactions and the fee paid to us generally does not vary based on the type of investment selected. You will pay fees and costs whether you make or lose money on your investments. Please make sure you understand what fees and costs you are paying.
Additional information: please see 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 interests and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interest. You should understand and ask us about these conflicts because they can affect the investment advice we provide you. For example, Baseline Wealth Management is presented with a conflict of interest when it receives third- party payments for recommending investments to clients. In such cases, we may be incentivized to make the recommendation to receive the third-party payments and not because the investment is in client’s best interest. In all such cases Baseline Wealth Management will request client’s consent prior to any such investments taking place.
Conversation Starter: Ask your financial professional:
  • How might your conflicts of interest affect me, and how much will you address them? Additional information: please see Form ADV, Part 2A brochure Items 10 and 11. How do your financial professionals make money?
Some of our financial professionals (such as portfolio managers and administrative staff) are paid salaries and have the opportunity to earn bonuses based on their contributions and profitability of the firm; while other financial professionals (such as relationship managers) are compensated based on individual performance and growth of the business.
Item 4: Disciplinary History
Do you or your financial professionals have legal or discipline history?
Baseline Wealth Management and its employees have not been subject to any legal or disciplinary events. Visit https://investor.gov/CRS for a free and simple search tool to research Baseline Wealth Management 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
For additional information about our investment advisory services, to request additional up-to-date information and to request a copy of the relationship summary, please contact us at T. +41 (0)58 105 76 20
info@baselinewealth.com
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?