Firm Brochure

Form ADV Part 2A – Firm Brochure

Company Name:

Crestwood Asset Management (CIM) Group Advisors, Inc.

Place of Registration:

United States

Regulatory Registrations:

  • National Futures Association (NFA), USA
  • Financial Crimes Enforcement Network, U.S. Treasury Department (FinCEN MSB Registration No.: 31000310277736)
  • Registration Category: Exempt Commodity Pool Operator / Trading Advisor

Last Updated:

September 2021

Business Overview

CIM is a compliant investment advisory firm specializing in institutional asset management, cross-border tax structuring, family office advisory, and quantum logic-driven investment strategies. We combine academic research with market practice to provide transparent, robust, and sustainable investment solutions to global clients.

Our client base includes:

  • Institutional investors (pension funds, insurance companies, sovereign wealth funds)
  • High-net-worth individuals and family offices
  • Corporate pension plans and cross-border investment institutions

Fees and Compensation

  • Management Fee: Charged based on Assets Under Management (AUM), annual rate 0.5%–1.5%
  • Performance Fee: Applicable to some clients, 10%–20%, based on High Water Mark mechanism
  • Other Fees: Trading costs, fund fees, and custody fees borne by clients

We do not accept commission-based sales or receive hidden fees from third-party funds.

Investment Methods and Risks

Methods: Quantum logic system, AI quantitative models, fundamental and policy analysis

Strategies: Public markets (stocks, ETFs), private equity, cross-border multi-asset allocation

Risks: Market volatility, liquidity shortages, geopolitical risks, regulatory changes, technological disruption

We emphasize risk-adjusted returns and control extreme risks through a quantitative risk management system.

Compliance and Disciplinary Information

CIM has no material compliance violations or disciplinary actions.

All investment activities comply with regulatory frameworks including SEC, NFA, MiFID II, BaFin, and GDPR.

Custody and Asset Safety

CIM does not directly hold client assets.

All client assets are held and safeguarded by independent, regulated qualified custodial banks/brokers in client institutional accounts under the name of CIM, providing regular asset reports and transparent investment review mechanisms.

Form ADV Part 2B – Brochure Supplement

Key Personnel

Peter Berndt

  • Nationality: Germany
  • Position: Managing Partner, CEO, Quantum Logic Strategy Director & Chief Advisor
Education
  • University of Chicago — Ph.D. in Economics (Financial Economics, Market Efficiency Theory, Quantitative Research)
  • Stanford University — M.S. in Artificial Intelligence (Machine Learning, Deep Learning, Intelligent Systems)
  • University of Cologne — M.A. in Economics (Corporate Finance, Cross-border M&A Strategy, Quantitative Investment Analysis)
  • University of St. Gallen — Certificate in International Wealth Management (Succession Planning, Family Governance, International Tax Optimization)
Professional Experience
  • Allianz Global Investors Headquarters: Head of Institutional Investment Strategy
  • Credit Suisse Private Banking: Senior Wealth Advisor
  • Crestwood Asset Management (CIM): Global Strategic Development Director (2021–Present)
Compliance and Disciplinary Information

No violations or disciplinary records.

Compensation and Conflicts of Interest
  • Fixed salary + performance incentives
  • No third-party sales commissions
  • Personal investments disclosed and subject to compliance supervision

Jonathan Keller

  • Nationality: United States
  • Position: Head of Institutional Asset Management / CIM Academic Assistant
Education and Qualifications
  • University of Cambridge — B.A. in Economics
  • CFA (Chartered Financial Analyst)
  • CFP (Certified Financial Planner)
Professional Roles and Responsibilities
  • Oversees compliance and risk management for CIM’s operations in Germany and Central Europe, ensuring adherence to MiFID II, MaRisk, GDPR, and other EU financial regulations
  • Maintains client interest priority and transparency, ensuring compliant and sound operations
  • Participates in AI quantum logic research team, developing and optimizing quantitative trading models and asset allocation strategies
  • Assists in expanding the European market by integrating mature international investment methods with local regulatory requirements
  • Provides robust, long-term, sustainable investment solutions for institutional and individual clients
Compliance and Disciplinary Information

No violations or disciplinary records.

Compensation and Conflicts of Interest
  • Fixed salary + performance incentives
  • No acceptance of third-party commissions
  • Personal investments disclosed and subject to compliance supervision

Annika Müller

  • Nationality: Germany
  • Position: Head of Client Relations and Family Office Advisory
Education
  • University of Munich — Dual Degree in Law and International Business
  • University of Zurich — Wealth Management and Family Governance Advanced Studies
Professional Experience
  • UBS Group: Private Banking Client Manager, specializing in family office and cross-border client services
  • Julius Bär: High-net-worth Client Advisor
  • Crestwood Asset Management (CIM): Head of Client Relations, responsible for family office, succession planning, and cross-border client relationship management
Compliance and Disciplinary Information

No violations or disciplinary records.

Compensation and Conflicts of Interest
  • Fixed salary + client service performance bonuses
  • No acceptance of third-party commissions
  • Personal investments disclosed and subject to compliance supervision

The above three individuals constitute the core management and advisory team of CIM. They each have rich academic backgrounds, experience at international financial institutions, and strict compliance discipline.

Form CRS – Client Relationship Summary

Company Overview

Crestwood Asset Management (CIM) Group Advisors, Inc. (referred to as "CIM") is a registered and compliant investment advisory firm in the United States, providing cross-border asset management and compliance services in the European market (Germany / Central Europe). We focus on long-term investment management and wealth planning for institutional investors, family offices, and high-net-worth clients.

Services

  • Institutional Asset Management (Pension Funds, Insurance Funds, Sovereign Wealth Funds)
  • Family Office Advisory (Succession Planning, Private Equity, Alternative Investment Allocation)
  • Cross-border Tax and Compliance Structuring (Optimizing capital flows between the US, Europe, and Asia)
  • Quantum Logic-driven Investment Strategies (Combining academic rigor with market practice)

Fees and Costs

  • Management Fee: Annual fee based on Assets Under Management (AUM)
  • Performance Fee: Applicable to some clients, charged at 10%–20%
  • Other Costs: Custody fees, fund fees, and transaction fees are borne directly by clients

We do not charge third-party commissions to avoid potential conflicts of interest.

Regulation and Responsibility

As a registered investment advisor, CIM has a fiduciary duty to act in the best interests of its clients.

We fully comply with legal and regulatory requirements including the US SEC/NFA, EU MiFID II, German BaFin, and GDPR.

Risk Disclosure

All investments involve risks, including market volatility, loss of principal, currency fluctuations, and regulatory changes. Clients should decide whether investments are suitable based on their own circumstances.

Contact Information

Email: support@cimga.ltd