AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $458.1 |
Non-Discretionary | $19.8 |
Total | $477.9 |
Client | AUM |
---|---|
Retail | $158.5 |
Pooled | $221.4 |
Institutional | $97.9 |
Total | $477.9 |
Retail | Accounts | AUM |
---|---|---|
Individual | 291,062 | $75.8 |
Average Individual AUM | $260,448 | |
HNW | 61,960 | $82.7 |
Average HNW AUM | $1,334,767 | |
Retail Total | 353,022 | $158.5 |
Average Retail AUM | $449,005 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
UBS FINANCIAL SERVICES INC. | WEEHAWKEN-NJ-USA | $158.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $256.4 |
Retail SMA AUM | $158.5 |
Institutional SMA AUM | $97.9 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 42% | $107.7 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 6% | $15.4 |
Municipal | 13% | $33.3 |
Sovereign | 0% | $0.0 |
IG Credit | 8% | $20.5 |
HY Credit | 0% | $0.0 |
Derivatives | 0% | $0.0 |
Investment Companies | 13% | $33.3 |
Other Pools | 12% | $30.8 |
Cash | 3% | $7.7 |
Other | 3% | $7.7 |
Total | 100% | $256.4 |
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 |
CREDIT SUISSE ASSET MANAGEMENT, LLC | $59.9 | 106012 | |
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 |
UBS ASSET MANAGEMENT FUNDS LTD | $0.0 | 173081 | |
UBS ASSET MANAGEMENT (ITALIA) SGR S.P.A. | $0.0 | - | |
UBS FUND SERVICES (USA) LLC | $0.0 | broker-dealer | 41848 |
UBS FUND MANAGEMENT (SWITZERLAND) AG | $0.0 | - | |
UBS SECURITIES LLC | $0.0 | broker-dealer | 7654 |
UBS OCONNOR LLC | $0.0 | 108754 | |
UBS ASSET MANAGEMENT SWITZERLAND AG | $0.0 | - | |
UBS ASSET MANAGEMENT (AUSTRALIA) LTD. | $0.0 | - | |
UBS AG | $0.0 | broker-dealer | - |
UBS ASSET MANAGEMENT (SINGAPORE) LTD | $0.0 | - | |
UBS ASSET MANAGEMENT (TAIWAN) LTD | $0.0 | - | |
UBS ASSET MANAGEMENT TRUST COMPANY | $0.0 | trust company | - |
UBS FUND MANAGEMENT (IRELAND) LTD. | $0.0 | - | |
UBS GROUP AG | $0.0 | - | |
UBS ASSET MANAGEMENT (US) INC. | $0.0 | broker-dealer | 583 |
UBS ASSET MANAGEMENT (DEUTSCHLAND) GMBH | $0.0 | - | |
UBS FARMLAND INVESTORS LLC | $0.0 | 107754 | |
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO | $0.0 | broker-dealer | 13042 |
UBS ASSET MANAGEMENT (CANADA) INC. | $0.0 | - | |
UBS (LUXEMBOURG) S.A. | $0.0 | broker-dealer | - |
UBS ASSET MANAGEMENT (UK) LTD. | $0.0 | - | |
UBS ASSET MANAGEMENT (SHANGHAI) LIMITED | $0.0 | - | |
UBS FUND SERVICES (LUXEMBOURG) S.A. | $0.0 | - | |
UBS FUND MANAGEMENT (LUXEMBOURG) S.A. | $0.0 | - | |
UBS MTF LIMITED | $0.0 | - | |
UBS HEDGE FUND SOLUTIONS LLC | $0.0 | 131034 | |
UBS ASSET MANAGEMENT (HONG KONG) LIMITED | $0.0 | - | |
UBS ASSET MANAGEMENT (JAPAN) LTD. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
16 active
Name | Title |
---|---|
MULLEN, BARRY, JOHN | CHIEF COMPLIANCE OFFICER |
GILL, BARRY, JOHN | HEAD OF INVESTMENTS |
MCINTOSH, IAN, ROSS | HEAD OF ACTIVE EQUITIES |
PRIMMER, RYAN, FRANKLIN | HEAD OF INVESTMENT SOLUTIONS |
POUCHER, JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER |
ELLINGER, CRAIG, GARRET | HEAD OF AMERICAS FIXED INCOME |
MATTONE, RALPH | TREASURER AND CHIEF FINANCIAL OFFICER |
STACEY, PHILIP, DAVID | CHIEF LEGAL OFFICER |
MURPHY, STEPHEN | HEAD OF INSTITUTIONAL CLIENT COVERAGE |
KULBACK, EMILY, MARIE | HEAD OF PRODUCTS AMERICAS AND MANAGER |
ZABEL, MEGGAN, KINUM | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER |
RONGETTI, MICHAEL | HEAD OF CREDIT SUISSE ASSET MANAGEMENT AND MANAGER |
ADVDB.CO • SOURCE: SEC
31 active representatives found, showing 20 random
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
ANUPA SHRESTHA | NEW YORK | NY | S66|2003-03-10 | ||||||
ANTHONY LIOTTI | NEW YORK | NY | S63|1994-06-30|S66|2012-12-19 | ||||||
THOMASINA CARNEY | NEW YORK | NY | S66|2013-03-21 | ||||||
SARAH LANG | NEW YORK | NY | S66|2023-03-27 | ||||||
DAVID KELLY | NEW YORK | NY | S63|1993-10-13|S66|2005-06-27 | ||||||
KEITH RATCLIFFE | NEW YORK | NY | S63|2007-08-02|S66|2009-06-10 | ||||||
MARC PETERFRIEND | NEW YORK | NY | S63|2000-08-16|S65|2005-09-19 | ||||||
NEIL TALBOT | NEW YORK | NY | S63|1995-02-27|S66|2006-09-01 | ||||||
NICHOLAS CARROLL | NEW YORK | NY | S66|2021-10-11 | ||||||
CATHY DESJARDINS | NEW YORK | NY | S63|1996-08-30|S65|1998-02-02 | ||||||
DANIEL PRIMEAU | NEW YORK | NY | S63|2010-05-26 | CHARTERED FINANCIAL ANALYST | |||||
KEVIN SPANO | NEW YORK | NY | S66|2016-03-23 | ||||||
EDWARD ECCLES | NEW YORK | NY | S66|2018-06-19 | ||||||
JAE WOONG JANG | NEW YORK | NY | S66|2021-11-20 | ||||||
MICHAEL NIP | NEW YORK | NY | S66|2014-03-13 | ||||||
MARK MCMILLAN | NEW YORK | NY | S63|1995-09-28|S65|1996-08-21 | ||||||
EDMUND TRAN | NEW YORK | NY | S66|2014-09-05 | ||||||
ROBERT DORFMAN | NEW YORK | NY | S63|1996-04-22|S65|1996-03-11 | ||||||
STEPHEN CANTER | NEW YORK | NY | S66|2013-08-09 | ||||||
KATHRYN LOPRESTI | NEW YORK | NY | S66|2011-12-08 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $477.9 | $0.0 | 0% | 823 | 0 | 0% |
2024-04-02 | $367.9 | $110.0 | 30% | 406 | 417 | 103% |
2023-04-04 | $300.9 | $177.0 | 59% | 380 | 443 | 117% |
2022-04-01 | $299.7 | $178.2 | 59% | 372 | 451 | 121% |
2021-04-05 | $269.2 | $208.7 | 78% | 381 | 442 | 116% |
2020-04-01 | $192.2 | $285.6 | 149% | 362 | 461 | 127% |
2019-04-01 | $179.4 | $298.4 | 166% | 389 | 434 | 112% |
2018-04-02 | $170.9 | $306.9 | 180% | 374 | 449 | 120% |
2017-04-01 | $142.1 | $335.7 | 236% | 407 | 416 | 102% |
2016-04-01 | $150.4 | $327.4 | 218% | 518 | 305 | 59% |
2015-04-01 | $153.8 | $324.1 | 211% | 509 | 314 | 62% |
2014-04-01 | $157.6 | $320.3 | 203% | 516 | 307 | 59% |
2013-04-01 | $164.8 | $313.1 | 190% | 508 | 315 | 62% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
NY, AK-06/29/2001, AL-06/27/2001, AR-06/29/2001, AZ-06/27/2001, CA-06/27/2001, CO-06/27/2001, CT-06/27/2001, DC-06/27/2001, DE-07/21/2003, FL-06/27/2001, GA-06/27/2001, HI-06/27/2001, IA-06/27/2001, ID-06/27/2001, IL-02/09/2000, IN-06/27/2001, KS-06/27/2001, KY-06/27/2001, LA-06/27/2001, MA-06/27/2001, MD-06/27/2001, ME-06/27/2001, MI-06/27/2001, MN-06/27/2001, MO-06/27/2001, MS-06/27/2001, MT-06/27/2001, NC-06/27/2001, ND-06/27/2001, NE-06/27/2001, NH-06/27/2001, NJ-07/27/2001, NM-06/27/2001, NV-06/27/2001, NY-06/27/2001, OH-06/27/2001, OK-08/21/2001, OR-06/27/2001, PA-06/27/2001, PR-06/27/2001, RI-06/27/2001, SC-06/27/2001, SD-06/27/2001, TN-09/17/2001, TX-06/27/2001, UT-06/28/2001, VA-06/27/2001, VI-03/30/2020, VT-06/27/2001, WA-06/27/2001, WI-06/27/2001, WV-06/27/2001 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
OTHER ACTIVITIES |
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV