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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

UBS WILLOW MANAGEMENT, L.L.C.

CRD 109347

NEW YORK, NY

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Search this name across graphsid dfx:ria:d6abbd1e-35a9-9dcc-bf17-6f502c9b6b4b

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 28, 2013
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $21.3MItem 5.F on the latest filing (2013-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $21.3M
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: 122
Advisory employees: 49
Accounts: 1
SEC number: 801-57401
CRD: 109347
Filings on the tape: 2
First filed: Mar 29, 2012
Latest filed: Mar 28, 2013
Organised: Limited Liability Company, Delaware

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
FERRI, WILLIAM, JOSEPH	GLOBAL HEAD OF ALTERNATIVE & QUANTITATIVE	Na	yes	10/2010	Mar 29, 2012	Mar 28, 2013
HNILO, JAMES, MICHAEL	GENERAL COUNSEL	Na	yes	10/2010	Mar 29, 2012	Mar 28, 2013
KIM, SAM, SANGKYUN	MANAGING MEMBER, BOND STREET	E	yes	06/1999	Mar 29, 2012	Mar 28, 2013
UBS AG	Owner	E	yes	11/2000	Mar 29, 2012	Mar 28, 2013
UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC	MANAGING MEMBER	E	yes	10/2010	Mar 29, 2012	Mar 28, 2013
VAGRA, NICHOLAS, JAMES	CHIEF OPERATING OFFICER	Na	yes	10/2010	Mar 29, 2012	Mar 28, 2013
BOND STREET CAPITAL LLC	Member	A	no	02/2000	Mar 29, 2012	Mar 28, 2013
PLUCHINO, FRANK, SAL	CHIEF COMPLIANCE OFFICER	Na	no	07/2005	Mar 29, 2012	Mar 28, 2013

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
UBS FINANCIAL SERVICES INC.	n/a	Wirehouse	$916B	N	no	n/a
UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC.	n/a	Mixed wealth	$588B	N	no	n/a
UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC	n/a	Former SEC adviser	$39B	Y	yes	n/a
UBS OCONNOR LLC	n/a	Former SEC adviser	$14B	N	yes	n/a
UBS EUCALYPTUS MANAGEMENT, L.L.C.	n/a	Former SEC adviser	$250M	Y	yes	n/a
UBS JUNIPER MANAGEMENT, L.L.C.	n/a	Former SEC adviser	$25.4M	Y	yes	n/a
BOND STREET CAPITAL LLC	n/a	Former SEC adviser	$21.7M	Y	no	n/a
UBS GLOBAL ASSET MANAGEMENT (US) INC.	n/a	n/a	n/a	N	no	n/a
UBS SECURITIES LLC	n/a	Former SEC adviser	n/a	N	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
ENGLEWOOD CLIFFS	Nj	United States	n/a	no

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
2012	Mar 28, 2013	$21.3M	$21.3M	122	49	n/a	n/a	n/a
2011	Mar 29, 2012	$137M	$137M	n/a	n/a	n/a	n/a	n/a

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
2012	$21.3M	$137M	-84.5%	n/a	n/a	122	n/a	n/a	n/a

Relationships

Affiliated with (10)

→ UBS ASSET MANAGEMENT (AMERICAS) LLCRegistered adviserother investment adviser, bank
factForm ADV
→ UBS OCONNOR LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ UBS EUCALYPTUS MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ UBS JUNIPER MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ BOND STREET CAPITAL LLCRegistered adviserother investment adviser, control
factForm ADV
→ UBS HEDGE FUND SOLUTIONSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ UBS SECURITIES LLCRegistered adviserbroker-dealer, bank, trust company
factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserother investment adviser, broker-dealer, trust company
factForm ADV
← UBS EUCALYPTUS MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, control, common control
factForm ADV
← UBS JUNIPER MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, control, common control
factForm ADV

Owns (2)

← BOND STREET CAPITAL LLCOwnerMEMBER, ownership code A, domestic entity
Mar 29, 2012 to presentfactForm ADV
← PLUCHINO, FRANK, SALOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Controls (6)

← UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← KIM, SAM, SANGKYUNOwnerMANAGING MEMBER, BOND STREET, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← FERRI, WILLIAM, JOSEPHOwnerGLOBAL HEAD OF ALTERNATIVE & QUANTITATIVE, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← VAGRA, NICHOLAS, JAMESOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← HNILO, JAMES, MICHAELOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← UBS AGOwnerOWNER, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d6abbd1e-35a9-9dcc-bf17-6f502c9b6b4b
First observed: Mar 29, 2012
Last observed: Mar 28, 2013 164 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.

UBS WILLOW MANAGEMENT, L.L.C.

CRD 109347

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d6abbd1e-35a9-9dcc-bf17-6f502c9b6b4b

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:14 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FERRI, WILLIAM, JOSEPH

GLOBAL HEAD OF ALTERNATIVE & QUANTITATIVE

yes

10/2010

Mar 29, 2012

Mar 28, 2013

HNILO, JAMES, MICHAEL

GENERAL COUNSEL

yes

10/2010

Mar 29, 2012

Mar 28, 2013

KIM, SAM, SANGKYUN

MANAGING MEMBER, BOND STREET

yes

06/1999

Mar 29, 2012

Mar 28, 2013

UBS AG

Owner

yes

11/2000

Mar 29, 2012

Mar 28, 2013

UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC

MANAGING MEMBER

yes

10/2010

Mar 29, 2012

Mar 28, 2013

VAGRA, NICHOLAS, JAMES

CHIEF OPERATING OFFICER

yes

10/2010

Mar 29, 2012

Mar 28, 2013

BOND STREET CAPITAL LLC

Member

02/2000

Mar 29, 2012

Mar 28, 2013

PLUCHINO, FRANK, SAL

CHIEF COMPLIANCE OFFICER

07/2005

Mar 29, 2012

Mar 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

UBS FINANCIAL SERVICES INC.

n/a

Wirehouse

$916B

n/a

UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC.

n/a

Mixed wealth

$588B

n/a

UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC

n/a

Former SEC adviser

$39B

yes

n/a

UBS OCONNOR LLC

n/a

Former SEC adviser

$14B

yes

n/a

UBS EUCALYPTUS MANAGEMENT, L.L.C.

n/a

Former SEC adviser

$250M

yes

n/a

UBS JUNIPER MANAGEMENT, L.L.C.

n/a

Former SEC adviser

$25.4M

yes

n/a

BOND STREET CAPITAL LLC

n/a

Former SEC adviser

$21.7M

n/a

UBS GLOBAL ASSET MANAGEMENT (US) INC.

n/a

UBS SECURITIES LLC

n/a

Former SEC adviser

n/a

City

State

Country

Employees

Also broker-dealer

ENGLEWOOD CLIFFS

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$21.3M

122

n/a

2011

Mar 29, 2012

$137M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$21.3M

$137M

-84.5%

n/a

122

n/a