AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $0.8 |
Non-Discretionary | $0.0 |
Total | $0.8 |
Client | AUM |
---|---|
Retail | $0.0 |
Pooled | $0.8 |
Institutional | $0.0 |
Total | $0.8 |
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 |
---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $0.0 |
Retail SMA AUM | $0.0 |
Institutional SMA AUM | $0.0 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 0% | $0.0 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 0% | $0.0 |
Municipal | 0% | $0.0 |
Sovereign | 0% | $0.0 |
IG Credit | 0% | $0.0 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 0% | $0.0 |
Other Pools | 0% | $0.0 |
Cash | 0% | $0.0 |
Other | 0% | $0.0 |
Total | 0% | $0.0 |
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 OCONNOR LLC | $0.0 | 108754 | |
UBS HEDGE FUND SOLUTIONS LLC | $0.0 | 131034 | |
CREDIT SUISSE AG | $0.0 | broker-dealer | - |
UBS FUND SERVICES (USA) LLC | $0.0 | broker-dealer | 41848 |
UBS FARMLAND INVESTORS LLC | $0.0 | 107754 | |
UBS ASSET MANAGEMENT (US) INC. | $0.0 | broker-dealer | 583 |
UBS SECURITIES LLC | $0.0 | broker-dealer | 7654 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
12 active
Name | Title |
---|---|
KRAUSS, DAVID I | CHIEF RISK OFFICER |
MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER FOR THE BROKER DEALER & THE INVESTMENT ADVISOR |
EBERT, MICHAEL J | HEAD OF CREDIT SUISSE INVESTMENT BANK, BOARD MEMBER, TEXAS DESIGNATED OFFICER |
WIPF, THOMAS | CHIEF EXECUTIVE OFFICER, BOARD MEMBER |
CHIODI, MARIA | GENERAL COUNSEL |
HASSELL, GARY | HEAD OF OPERATIONS |
POWERS, WAYNE | CHIEF FINANCIAL OFFICER |
ADVDB.CO • SOURCE: SEC
14 active representatives found
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
DANIEL VAYSLEYB | NEW YORK | NY | S63|2006-04-14|S66|2008-04-21 | ||||||
ROBERT DADDARIO | NEW YORK | NY | S63|1998-12-23|S66|2011-01-31 | ||||||
STEPHEN KEEFER | NEW YORK | NY | S66|2005-12-19 | ||||||
ELIZABETH KARNICK | NEW YORK | NY | S66|2003-05-16 | ||||||
STEVEN HARR | NEW YORK | NY | S66|2004-09-30 | ||||||
SEAN GRAY | NEW YORK | NY | S63|1989-03-09|S66|2005-01-21 | ||||||
ANDREW STEVENS | NEW YORK | NY | S63|2006-01-24|S65|2021-06-03 | ||||||
PABLO COSSARO | NEW YORK | NY | S66|2005-10-04 | ||||||
ZACHARY ZINKGRAF | NEW YORK | NY | S66|2015-07-23 | ||||||
STEVEN BOCK | NEW YORK | NY | S66|2002-12-20 | ||||||
JAMES LEE | NEW YORK | NY | S66|2006-07-11 | ||||||
EDWARD GHISLANDI | NEW YORK | NY | S63|1999-09-01|S66|2002-04-29 | ||||||
DAVID TIPS | NEW YORK | NY | S66|2002-06-10 | ||||||
THOMAS HILLMAN | NEW YORK | NY | S66|2002-04-03 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $0.8 | $0.0 | 0% | 39 | 0 | 0% |
2024-04-02 | $0.8 | $0.0 | 0% | 39 | 0 | 0% |
2023-04-04 | $0.8 | $0.0 | 3% | 3,796 | -3,757 | -99% |
2022-04-01 | $0.8 | $0.0 | 4% | 4,452 | -4,413 | -99% |
2021-04-05 | $0.5 | $0.3 | 63% | 4,603 | -4,564 | -99% |
2020-04-01 | $0.4 | $0.4 | 99% | 4,744 | -4,705 | -99% |
2019-04-01 | $0.3 | $0.5 | 170% | 4,720 | -4,681 | -99% |
2018-04-02 | $0.2 | $0.6 | 233% | 5,199 | -5,160 | -99% |
2017-04-01 | $0.2 | $0.6 | 378% | 5,381 | -5,342 | -99% |
2016-04-01 | $0.1 | $0.7 | 495% | 12,432 | -12,393 | -100% |
2015-04-01 | $29.1 | -$28.3 | -97% | 9,443 | -9,404 | -100% |
2014-04-01 | $20.4 | -$19.6 | -96% | 8,499 | -8,460 | -100% |
2013-04-01 | $15.8 | -$15.0 | -95% | 11,270 | -11,231 | -100% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
NY, AK-05/08/2000, AL-12/12/2000, AR-06/19/2000, AZ-04/21/2000, CA-02/04/2000, CT-06/21/2000, DC-07/05/2000, DE-09/22/2003, FL-07/22/1991, GA-06/21/2000, HI-07/24/2000, IA-06/21/2000, ID-06/09/1994, IL-06/23/2000, IN-11/08/2000, KS-06/21/2000, KY-06/21/2000, LA-10/02/2001, MD-01/23/1996, ME-01/30/2002, MI-04/04/2000, MN-07/19/2000, MO-02/17/2000, MS-06/23/2000, MT-06/28/2000, NC-12/18/2000, ND-06/23/2000, NE-06/23/2000, NH-02/02/2000, NJ-09/05/1992, NM-02/07/2000, NV-01/03/2000, NY-01/31/1994, OH-06/29/2000, OK-07/06/2000, OR-04/25/2000, PA-07/14/1932, PR-06/26/2000, RI-01/01/1997, SC-06/28/2000, SD-06/23/2000, TN-06/29/2000, TX-01/01/1983, UT-05/23/1994, VA-08/14/1991, VI-03/31/2008, VT-06/27/2000, WA-04/25/2000, WI-04/23/2000, WV-02/04/2000 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT (POOLS) |
OTHER ACTIVITIES |
BROKER DEALER FUTURES MERCHANT |
ADVDB.CO • SOURCE: SEC FORM ADV