DFX Intelligence

U•• H•••• F••• S••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 10b 100b

U•• H•••• F••• S••••••••

U•• H•••• F••• S•••••••• LLC, CRD 131034

STAMFORD, CT

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Data as of Apr 4, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 73
Dated events: 6
On other graphs: 1
Observed: Mar 29, 2012 to Apr 4, 2024
67 observations

Across DFX

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

Private Creditidentity

U•• H•••• F••• S••••••••

Private credit manager · Key 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: $39B••• Locked
Discretionary RAUM: $25B
Private client RAUM: $166Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 81
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
U•• G••••• A•••• S••••••••• L••••••	Hedge Fund	$801M	May 1, 2014	51	Mar 29, 2012	dropped	021-43722
A•• S••••• S•• A•• D••••• A••••• M•• I• S•	Hedge Fund	$478M	Feb 3, 2021

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••• B••••• J•••	UBS ASSET MANAGEMENT _ HEAD OF INVESTMENTS	Na	yes	04/2021	Mar 31, 2021	Apr 4, 2024
R••••• E••••••	CHIEF INVESTMENT OFFICER	Na	yes	03/2023	Mar 31, 2022	Apr 4, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U•• F•••••••• S••••••• I•••	n/a	Wirehouse	$916B	N	yes	n/a
U•• A•••• M••••••••• ••••••••• L••	n/a	Mixed wealth	$588B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	32	yes
London	n/a	United Kingdom	11	no
H••• K•••	n/a	Hong Kong	4	no
Tokyo	n/a	Japan	2	no
Krakow	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$39B	$40B	-1.4%	$38B	1.1%	81	82	7	7

Relationships

Affiliated with (18)

← U•• F•••••••• S••••••• I•••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← U•• A•••• M••••••••• C••••• I••••••••• G•••• ••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← U•• A•••• M••••••• O• P••••• R•••Registered adviserother investment adviser, bank, common control
factForm ADV
← C••••• S••••• S••••••••• •••• L••

Dated events

Occurred
Mar 1, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 1, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 1, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Apr 4, 2024 30 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.