AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $12.3 |
| Non-Discretionary | $0.0 |
| Total | $12.3 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $11.3 |
| Institutional | $1.0 |
| Total | $12.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| THE BANK OF NEW YORK MELLON | WILMINGTON-DE-USA | $0.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $1.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 1% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 16% | $0.2 |
| Derivatives | 1% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 1% | $0.0 |
| Cash | 3% | $0.0 |
| Other | 81% | $0.8 |
| Total | 103% | $1.0 |
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, LLC | $59.9 | 106012 | |
| UBS REALTY INVESTORS LLC | $2.7 | 107758 | |
| UBS AG | $0.0 | broker-dealer | - |
| UBS ASSET MANAGEMENT LIFE LTD | $0.0 | - | |
| UBS ASSET MANAGEMENT (UK) LTD | $0.0 | - | |
| UBS AG LONDON BRANCH | $0.0 | broker-dealer | - |
| CREDIT SUISSE AG | $0.0 | broker-dealer | - |
| UBS HEDGE FUND SOLUTIONS LLC | $0.0 | 131034 | |
| UBS SECURITIES LLC | $0.0 | broker-dealer | 7654 |
| UBS FUND SERVICES (USA) LLC | $0.0 | broker-dealer | 41848 |
| CREDIT SUISSE (UK) LTD | $0.0 | broker-dealer | - |
| UBS OCONNOR LLC | $0.0 | 108754 | |
| UBS FARMLAND INVESTORS LLC | $0.0 | 107754 | |
| UBS ASSET MANAGEMENT (US) INC. | $0.0 | broker-dealer | 583 |
| CREDIT SUISSE (LUXEMBOURG) S.A | $0.0 | - | |
| CREDIT SUISSE FUND MANAGEMENT S.A | $0.0 | - | |
| CREDIT SUISSE INTERNATIONAL | $0.0 | broker-dealer | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
9 active
| Name | Title |
|---|---|
| HARE, PAUL, EDWARD | COMPANY SECRETARY |
| BERRYMAN, MARC | CHIEF OPERATING OFFICER & DIRECTOR |
| HALE, IAN, MICHAEL | NON EXECUTIVE DIRECTOR |
| GILLOTT, JUSTIN | EXECUTIVE DIRECTOR |
| VEITCH, AMY, LOUISE | INTERIM CHIEF COMPLIANCE OFFICER |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $12.3 | $0.0 | 0% | 39 | 0 | 0% |
| 2024-04-02 | $12.3 | $0.0 | 0% | 39 | 0 | 0% |
| 2023-04-04 | $11.6 | $0.7 | 6% | 71 | -32 | -45% |
| 2022-04-01 | $12.1 | $0.2 | 2% | 62 | -23 | -37% |
| 2021-04-05 | $11.2 | $1.2 | 11% | 60 | -21 | -35% |
| 2020-04-01 | $9.8 | $2.5 | 26% | 60 | -21 | -35% |
| 2019-04-01 | $12.0 | $0.4 | 3% | 50 | -11 | -22% |
| 2018-04-02 | $9.2 | $3.2 | 35% | 61 | -22 | -36% |
| 2017-04-01 | $3.5 | $8.9 | 254% | 53 | -14 | -26% |
| 2016-04-01 | $2.6 | $9.8 | 376% | 57 | -18 | -32% |
| 2015-04-01 | $2.6 | $9.7 | 370% | 54 | -15 | -28% |
| 2014-04-01 | $2.8 | $9.5 | 333% | 65 | -26 | -40% |
| 2013-04-01 | $3.8 | $8.5 | 222% | 94 | -55 | -59% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV