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U•• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

U•• A•••• M••••••••• L••

U•••• B••••••• P••••• ASSET MANAGEMENT LLC, CRD 111472

NEW YORK, NY

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Search this name across graphsid dfx:ria:15007890-8f63-384a-243b-51a830bdb190

Data as of Mar 30, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 52
Dated events: 8
On other graphs: 1
Observed: Nov 22, 2011 to Mar 30, 2021
24 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

U•• A•••• M••••••••• L••

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $231MItem 5.F on the latest filing (2021-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $231M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 38

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••••••• A•• L••	Hedge Fund	$163M	Oct 28, 2015	363	Nov 22, 2011	dropped	021-58581
S••••••••• A•• M• L••	Hedge Fund	$101M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•• H••••••• S•••	Shareholder	E	yes	07/1996	Nov 22, 2011	Mar 30, 2021
C••••• I••• M•••	BOARD OF MANAGERS	Na	yes	07/2012	Aug 10, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U•••• B••••••• P••••• ••••••• S•	n/a	n/a	n/a	N	yes	n/a
U•••• B••••••• P••••• A•••• M••••••••• •••••••• L••	n/a	n/a	n/a	N	yes	n/a
U•••• B••••••• P•••••• U•• S•

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$231M	$211M	9.5%	$25.9M	107.5%	3	6	0	1

Relationships

Controls (12)

← D• P••••••••• D•••••• A••••OwnerSHAREHOLDER, ownership code E, individual
Mar 31, 2020 to presentfactForm ADV
← C••••• I••• M•••OwnerBOARD OF MANAGERS, ownership code NA, individual
Aug 10, 2012 to presentfactForm ADV
← M••••••••• E•••••OwnerBOARD OF MANAGERS, ownership code NA, individual
Oct 28, 2015 to presentfactForm ADV
← G•••••••• W••••••• S••••••OwnerGENERAL COUNSEL & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2017 to presentfact

Dated events

Occurred
Jun 1, 2020
Control person left
Akim Jason Lovelace (Chief Executive Officer & Chief Risk Officer) no longer on Schedule A of U•• A•••• M••••••••• L•• (listed 2020-03-31, absent 2020-06-01)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2020
Regulatory AUM changed
U•• A•••• M••••••••• L•• reported RAUM $211.0M, up 110% from $100.2M (2019-03-29 to 2020-03-31)
Form ADVobserved 7 days ago
$111M
Occurred
Mar 31, 2020
Control person joined
Anne Rotman De Picciotto (Shareholder) appeared on Schedule A of U•• A•••• M••••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:15007890-8f63-384a-243b-51a830bdb190
First observed: Nov 22, 2011
Last observed: Mar 30, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.