AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $59.9 |
| Non-Discretionary | $0.0 |
| Total | $59.9 |
| Client | AUM |
|---|---|
| Retail | $3.7 |
| Pooled | $45.4 |
| Institutional | $10.8 |
| Total | $59.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | ||
| HNW | 832 | $3.7 |
| Average HNW AUM | ||
| Retail Total | 832 | $3.7 |
| Average Retail AUM | $4,396,017 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| THE BANK OF NEW YORK MELLON | WILMINGTON-DE-USA | $3.4 |
| STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $2.2 |
| UBS FINANCIAL SERVICES INC. | WEEHAWKEN-NJ-USA | $1.8 |
| JP MORGAN SECURITIES LLC | BROOKLYN-NY-USA | $1.5 |
| BROWN BROTHERS HARRIMAN INVESTMENTS, LLC | BOSTON-MA-USA | $1.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $14.5 |
| Retail SMA AUM | $3.7 |
| Institutional SMA AUM | $10.8 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 11% | $1.6 |
| Municipal | 27% | $3.9 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 2% | $0.3 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 10% | $1.4 |
| Cash | 8% | $1.2 |
| Other | 42% | $6.1 |
| Total | 100% | $14.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | $702.4 | broker-dealer | 8174 |
| UBS ASSET MANAGEMENT (AMERICAS) INC. | $477.9 | 106838 | |
| CREDIT SUISSE ASSET MANAGEMENT LIMITED | $12.3 | 113463 | |
| UBS REALTY INVESTORS LLC | $2.7 | 107758 | |
| CREDIT SUISSE SECURITIES (USA) LLC | $0.8 | broker-dealer | 816 |
| CREDIT SUISSE (LUXEMBOURG) S.A. | $0.0 | - | |
| CREDIT SUISSE AG | $0.0 | broker-dealer | - |
| UBS ASSET MANAGEMENT (US) INC. | $0.0 | broker-dealer | 583 |
| UBS HEDGE FUND SOLUTIONS LLC | $0.0 | 131034 | |
| UBS FUND SERVICES (USA) LLC | $0.0 | broker-dealer | 41848 |
| UBS FARMLAND INVESTORS LLC | $0.0 | 107754 | |
| UBS OCONNOR LLC | $0.0 | 108754 | |
| UBS SECURITIES LLC | $0.0 | broker-dealer | 7654 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
10 active
| Name | Title |
|---|---|
| RONGETTI, MICHAEL, JAMES | CHIEF EXECUTIVE OFFICER, MANAGING DIRECTOR AND CHAIRMAN OF THE MANAGEMENT COMMITTEE |
| KHANNA, SUMIT | DIRECTOR AND MEMBER OF MANAGEMENT COMMITTEE |
| VELSOR, CRAIG, MICHAEL | CHIEF FINANCIAL OFFICER, DIRECTOR |
| MILLER, MAURA, ANNE | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER AND MEMBER OF MANAGEMENT COMMITTEE |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| ADVISER ACTIVITIES |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV