DFX Intelligence

Data Factory

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

UBS OCONNOR LLC

CRD 108754

CHICAGO, IL

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:f89f9a07-ba00-678a-1738-8192ae78a7a8

Data as of Mar 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 18
On other graphs: 0
Observed: Mar 29, 2012 to Mar 30, 2024
45 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: $14BItem 5.F on the latest filing (2024-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $14B
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: 74
Advisory employees: 58
Offices: 9Schedule D 1.F, beyond the principal office
Accounts: 40
Private funds: 13Schedule D 7.B(1)
Private fund GAV: $11Bgross asset value as reported per fund; never fund size
Custody, client assets: $12B
SEC number: 801-57469
CRD: 108754
Filings on the tape: 45
First filed: Mar 29, 2012
Latest filed: Mar 30, 2024
Organised: Limited Liability Company, Delaware

Private funds

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

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
OC 535 OFFSHORE FUND SPC - SEGREGATED PORTFOLIO 5	Hedge Fund	$380M	Mar 5, 2020	16	Aug 29, 2018	dropped	021-312396
CL LONG/SHORT SELECT MASTER LIMITED	Hedge Fund	$366M	Nov 26, 2013	10	Feb 27, 2013	dropped	021-187247
O'CONNOR GLOBAL QUANTITATIVE EQUITY MASTER LIMITED	Hedge Fund	$271M	Feb 27, 2013	7	Mar 29, 2012	dropped	021-128263
O'CONNOR MARKET OPPORTUNITIES SPC FOR THE ACCOUNT OF GLOBAL EQUITY MARKETS SEGREGATED PORTFOLIO	Hedge Fund	$233M	Nov 26, 2013	20	Aug 21, 2012	dropped	021-182433
O'CONNOR CAPITAL STRUCTURE OPPORTUNITY MASTER LIMITED	Hedge Fund	$210M	Feb 27, 2013	8	Mar 29, 2012	dropped	021-126646
NINETEEN77 ENVIRONMENTAL FOCUS FUND (CAYMAN) MASTER LIMITED	Hedge Fund	$190M	Feb 22, 2024	215	Aug 28, 2020	reported	021-394582
NINETEEN77 US EQUITIES LONG/SHORT SELECT MASTER LIMITED	Hedge Fund	$113M	Jun 20, 2017	60	Feb 27, 2013	dropped	021-187232
O'CONNOR GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT (LEVERED) MASTER LIMITED	Hedge Fund	$113M	Jun 20, 2017	8	Mar 29, 2012	dropped	021-9999999999
O'CONNOR SUSTAINABILITY LONG/SHORT EQUITY MASTER LIMITED	Hedge Fund	$109M	Jun 10, 2013	1	Nov 8, 2012	dropped	021-182458
NINETEEN77 GLOBAL MULTI STRATEGY ALPHA IV LIMITED	Hedge Fund	$69.5M	Mar 5, 2020	1	Mar 30, 2016	dropped	n/a
NINETEEN77 GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT MASTER LIMITED	Hedge Fund	$58.9M	Feb 24, 2021	1	Mar 29, 2012	dropped	021-104874
OCONNOR OPPORTUNISTIC STRATEGIES LIMITED	Hedge Fund	$56.1M	Feb 27, 2013	1	Mar 29, 2012	dropped	021-142415
O'CONNOR PROPERTY STRATEGIES MASTER LIMITED	Hedge Fund	$47.6M	Jul 9, 2014	5	Mar 29, 2012	dropped	021-160276
O'CONNOR EMERGING MARKETS LONG/SHORT MASTER LIMITED	Hedge Fund	$38.5M	Jul 9, 2014	5	Mar 29, 2012	dropped	n/a
O'CONNOR ASIA PACIFIC EQUITIES LONG/SHORT MASTER LIMITED	Hedge Fund	$11.4M	Jun 20, 2017	4	Nov 26, 2013	dropped	n/a
NINETEEN77 GLOBAL MULTI STRATEGY ALPHA (LEVERED) MASTER LIMITED	Hedge Fund	$9.9M	Mar 29, 2019	12	Mar 30, 2016	dropped	021-184503
NINETEEN77 TRADING VALUE LLC	Hedge Fund	$416,917	Dec 15, 2021	14	Mar 29, 2012	dropped	021-104878
NINTEEN77 CHINA LONG/SHORT ALPHA STRATEGIES MASTER LIMITED	Hedge Fund	$0	Mar 30, 2024	0	Aug 11, 2023	reported	n/a

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
Ahkong, Bernard, Shinmen	CIO, GLOBAL MULTI-STRATEGY PORTFOLIO	Na	yes	03/2024	Sep 30, 2022	Mar 30, 2024
Burke, Connor, Barrett	GENERAL COUNSEL	Na	yes	10/2021	Mar 31, 2022	Mar 30, 2024
Gill, Barry, John	UBS ASSET MANAGEMENT - HEAD OF INVESTMENTS	Na	yes	10/2019	Mar 31, 2021	Mar 30, 2024
HILTABRAND, DAVID, BLAKE	GLOBAL HEAD OF O'CONNOR	Na	yes	09/2022	Sep 30, 2022	Mar 30, 2024
Mathys, Charles, Raymond	CHIEF COMPLIANCE OFFICER	Na	yes	02/2020	Mar 29, 2012	Mar 30, 2024
UBS AG (ZURICH)	Member	E	yes	04/2004	Mar 29, 2012	Mar 30, 2024
UBS AMERICAS HOLDING LLC	Shareholder	E	yes	08/2015	Aug 31, 2015	Mar 30, 2024
UBS AMERICAS INC.	Shareholder	E	yes	10/2003	Jan 8, 2020	Mar 30, 2024
UBS ASSET MANAGEMENT (AMERICAS) INC.	Shareholder	E	yes	12/2019	Jan 8, 2020	Mar 30, 2024
UBS GROUP AG	PARENT COMPANY	E	yes	11/2014	Dec 5, 2014	Mar 30, 2024

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	yes	Nj
UBS ASSET MANAGEMENT (AMERICAS) INC.	n/a	Mixed wealth	$588B	N	yes	n/a
CREDIT SUISSE ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$60B	N	yes	n/a
UBS HEDGE FUND SOLUTIONS LLC	n/a	Former SEC adviser	$39B	N	yes	n/a
CREDIT SUISSE ASSET MANAGEMENT LIMITED	n/a	Asset manager	$11B	N	yes	n/a
UBS REALTY INVESTORS LLC	n/a	Asset manager	$2.3B	N	yes	n/a
CREDIT SUISSE SECURITIES (USA) LLC	n/a	Former SEC adviser	$805M	N	yes	n/a
UBS FARMLAND INVESTORS LLC	n/a	No RAUM reported	$0	N	yes	n/a
UBS ASSET MANAGEMENT (TAIWAN) LTD.	n/a	n/a	n/a	N	yes	n/a
UBS (LUXEMBOURG) S.A.	n/a	n/a	n/a	N	yes	n/a
UBS AG	n/a	n/a	n/a	Y	yes	n/a
UBS ASSET MANAGEMENT (AUSTRALIA) LTD.	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (CANADA) CO	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (DEUTSCHLAND) GMBH	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (HONG KONG) LIMITED	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (ITALIA) SGR S.P.A.	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (JAPAN) LTD.	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (SHANGHAI) LIMITED	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (SINGAPORE) LTD.	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (UK) LIMITED	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT (US) INC.	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT SWITZERLAND AG	n/a	n/a	n/a	N	yes	n/a
UBS ASSET MANAGEMENT TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO	n/a	n/a	n/a	N	yes	n/a
UBS FUND MANAGEMENT (IRELAND) LIMITED	n/a	n/a	n/a	N	yes	n/a
UBS FUND MANAGEMENT (LUXEMBOURG) S.A.	n/a	n/a	n/a	N	yes	n/a
UBS FUND SERVICES (LUXEMBOURG) S.A.	n/a	n/a	n/a	N	yes	n/a
UBS FUND SERVICES (USA) LLC	n/a	n/a	n/a	N	yes	n/a
UBS GROUP AG	n/a	n/a	n/a	Y	no	n/a
UBS SECURITIES LLC	n/a	Former SEC adviser	n/a	N	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	27	no
London	n/a	United Kingdom	11	no
Stamford	Ct	United States	8	no
Singapore	n/a	Singapore	5	no
Shanghai	n/a	China	4	no
HONG KONG	n/a	China	3	no
Zurich	n/a	Switzerland	2	no
FORT LAUDERDALE	FL	United States	1	no
Nashville	Tn	United States	1	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
2023	Mar 30, 2024	$14B	$14B	74	58	9	13	$11B
2022	Mar 31, 2023	$15B	$15B	72	58	9	10	$11B
2021	Mar 31, 2022	$21B	$20B	67	67	7	9	$16B
2020	Mar 31, 2021	$14B	$14B	53	53	6	8	$12B
2019	Mar 27, 2020	$9.4B	$9.3B	50	50	6	6	$9.1B
2018	Mar 29, 2019	$8.3B	$8.3B	121	57	5	9	$8.3B
2017	Mar 29, 2018	$12B	$12B	142	63	4	8	$12B
2016	Mar 31, 2017	$12B	$12B	157	64	n/a	9	$12B
2015	Mar 30, 2016	$13B	$13B	158	64	n/a	9	$13B
2014	Mar 31, 2015	$13B	$13B	161	66	n/a	6	$13B
2013	Mar 28, 2014	$13B	$13B	142	63	n/a	8	$13B
2012	Mar 28, 2013	$16B	$16B	178	89	n/a	10	$16B
2011	Mar 29, 2012	$15B	$15B	n/a	n/a	n/a	9	$14B

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
2023	$14B	$15B	-7.9%	$14B	-1.2%	74	72	9	9

Relationships

Affiliated with (18)

← UBS FINANCIAL SERVICES INC.Registered adviserother investment adviser, common control
factForm ADV
← UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← UBS ASSET MANAGERS OF PUERTO RICORegistered adviserother investment adviser, common control
factForm ADV
← CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← UBS HEDGE FUND SOLUTIONSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CREDIT SUISSE ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ UBS ASSET MANAGEMENT (AMERICAS) LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ UBS FARMLAND INVESTORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ UBS REALTY INVESTORS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ UBS ASSET MANAGEMENT CREDIT INVESTMENTS GROUP (UK) LTDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ UBS HEDGE FUND SOLUTIONSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ UBS SECURITIES LLCRegistered adviserbroker-dealer, bank, trust company, common control
factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserother investment adviser, broker-dealer, trust company, pooled vehicle sponsor, common control
factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserother investment adviser, broker-dealer, trust company, custodian, common control
factForm ADV
← CREDIT SUISSE ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← UBS EUCALYPTUS MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, common control
factForm ADV
← UBS WILLOW MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← UBS JUNIPER MANAGEMENT, L.L.C.Registered adviserother investment adviser, bank, common control
factForm ADV

Advises (18)

→ NINTEEN77 CHINA LONG/SHORT ALPHA STRATEGIES MASTER LIMITEDPrivate fundHedge Fund, IA
Aug 11, 2023 to presentfactForm ADV
→ NINETEEN77 ENVIRONMENTAL FOCUS FUND (CAYMAN) MASTER LIMITEDPrivate fundHedge Fund, IA
Aug 28, 2020 to presentfactForm ADV
→ NINETEEN77 TRADING VALUE LLCPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Dec 15, 2021factForm ADV
→ NINETEEN77 GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Feb 24, 2021factForm ADV
→ NINETEEN77 GLOBAL MULTI STRATEGY ALPHA IV LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Mar 5, 2020factForm ADV
→ OC 535 OFFSHORE FUND SPC - SEGREGATED PORTFOLIO 5Private fundHedge Fund, IA, no longer reported
Aug 29, 2018 to Mar 5, 2020factForm ADV
→ NINETEEN77 GLOBAL MULTI STRATEGY ALPHA (LEVERED) MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2016 to Mar 29, 2019factForm ADV
→ O'CONNOR ASIA PACIFIC EQUITIES LONG/SHORT MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Nov 26, 2013 to Jun 20, 2017factForm ADV
→ O'CONNOR GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT (LEVERED) MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Jun 20, 2017factForm ADV
→ NINETEEN77 US EQUITIES LONG/SHORT SELECT MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Feb 27, 2013 to Jun 20, 2017factForm ADV
→ O'CONNOR EMERGING MARKETS LONG/SHORT MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Jul 9, 2014factForm ADV
→ O'CONNOR PROPERTY STRATEGIES MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Jul 9, 2014factForm ADV
→ CL LONG/SHORT SELECT MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Feb 27, 2013 to Nov 26, 2013factForm ADV
→ O'CONNOR MARKET OPPORTUNITIES SPC FOR THE ACCOUNT OF GLOBAL EQUITY MARKETS SEGREGATED PORTFOLIOPrivate fundHedge Fund, IA, no longer reported
Aug 21, 2012 to Nov 26, 2013factForm ADV
→ O'CONNOR SUSTAINABILITY LONG/SHORT EQUITY MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Nov 8, 2012 to Jun 10, 2013factForm ADV
→ O'CONNOR CAPITAL STRUCTURE OPPORTUNITY MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Feb 27, 2013factForm ADV
→ OCONNOR OPPORTUNISTIC STRATEGIES LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Feb 27, 2013factForm ADV
→ O'CONNOR GLOBAL QUANTITATIVE EQUITY MASTER LIMITEDPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2012 to Feb 27, 2013factForm ADV

Controls (9)

← UBS ASSET MANAGEMENT (AMERICAS) INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 8, 2020 to presentfactForm ADV
← Mathys, Charles, RaymondOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← HILTABRAND, DAVID, BLAKEOwnerGLOBAL HEAD OF O'CONNOR, ownership code NA, individual
Sep 30, 2022 to presentfactForm ADV
← Gill, Barry, JohnOwnerUBS ASSET MANAGEMENT - HEAD OF INVESTMENTS, ownership code NA, individual
Mar 31, 2021 to presentfactForm ADV
← Burke, Connor, BarrettOwnerGENERAL COUNSEL, ownership code NA, individual
Mar 31, 2022 to presentfactForm ADV
← Ahkong, Bernard, ShinmenOwnerCIO, GLOBAL MULTI-STRATEGY PORTFOLIO, ownership code NA, individual
Sep 30, 2022 to presentfactForm ADV
← UBS AG (ZURICH)OwnerMEMBER, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV
← UBS AMERICAS HOLDING LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Aug 31, 2015 to presentfactForm ADV
← UBS AMERICAS INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 8, 2020 to presentfactForm ADV

Dated events

Occurred
Mar 30, 2024
Control person left
Casey Richard Talbot (Co-Cio, Global Multi-Strategy Portfolio) no longer on Schedule A of Ubs Oconnor Llc (listed 2024-02-22, absent 2024-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
Ubs Oconnor Llc reported RAUM $14.9B, down 27% from $20.5B (2023-01-04 to 2023-03-31)
Form ADVobserved 6 days ago
$-5.6B
Occurred
Sep 30, 2022
Control person joined
Casey Richard Talbot (Co-Cio, Global Multi-Strategy Portfolio) appeared on Schedule A of Ubs Oconnor Llc
Form ADVobserved 6 days ago
Occurred
Sep 30, 2022
Control person joined
Blake David Hiltabrand (Global Head Of O'Connor) appeared on Schedule A of Ubs Oconnor Llc
Form ADVobserved 6 days ago
Occurred
Sep 30, 2022
Control person joined
Shinmen Bernard Ahkong (Co-Cio, Global Multi-Strategy Portfolio) appeared on Schedule A of Ubs Oconnor Llc
Form ADVobserved 6 days ago
Occurred
Sep 30, 2022
Control person left
James Nicholas Vagra (Chief Operating Officer) no longer on Schedule A of Ubs Oconnor Llc (listed 2022-05-26, absent 2022-09-30)
Form ADVobserved 6 days ago
Occurred
Sep 30, 2022
Control person left
Gary Kevin Russell (Chief Investment Officer) no longer on Schedule A of Ubs Oconnor Llc (listed 2022-05-26, absent 2022-09-30)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
Ubs Oconnor Llc reported RAUM $20.5B, up 44% from $14.3B (2021-12-15 to 2022-03-31)
Form ADVobserved 6 days ago
$6.2B
Occurred
Mar 31, 2022
Control person left
D Andrew Hollenbeck (General Counsel) no longer on Schedule A of Ubs Oconnor Llc (listed 2021-12-15, absent 2022-03-31)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2022
Control person joined
Barrett Connor Burke (General Counsel) appeared on Schedule A of Ubs Oconnor Llc
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Ubs Oconnor Llc reported RAUM $14.3B, up 52% from $9.4B (2021-02-24 to 2021-03-31)
Form ADVobserved 6 days ago
$4.9B
Occurred
Mar 31, 2021
Control person left
Suni Harford (President Ubs Asset Management) no longer on Schedule A of Ubs Oconnor Llc (listed 2021-02-24, absent 2021-03-31)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person joined
John Barry Gill (Ubs Asset Management - Head Of Investments) appeared on Schedule A of Ubs Oconnor Llc
Form ADVobserved 6 days ago
Occurred
Mar 5, 2020
Control person joined
Raymond Charles Mathys (Chief Compliance Officer) appeared on Schedule A of Ubs Oconnor Llc
Form ADVobserved 6 days ago
Occurred
Mar 5, 2020
Control person left
Nicholas Michael Esposito (Chief Compliance Officer) no longer on Schedule A of Ubs Oconnor Llc (listed 2020-01-08, absent 2020-03-05)
Form ADVobserved 6 days ago
Occurred
Jun 25, 2019
Control person joined
Nicholas Michael Esposito (Chief Compliance Officer) appeared on Schedule A of Ubs Oconnor Llc
Form ADVobserved 6 days ago
Occurred
Jun 25, 2019
Control person left
Salvatore Digangi (Chief Compliance Officer) no longer on Schedule A of Ubs Oconnor Llc (listed 2019-03-29, absent 2019-06-25)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed
Ubs Oconnor Llc reported RAUM $8.3B, down 31% from $12.1B (2018-08-29 to 2019-03-29)
Form ADVobserved 6 days ago
$-3.8B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f89f9a07-ba00-678a-1738-8192ae78a7a8
First observed: Mar 29, 2012
Last observed: Mar 30, 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.

UBS OCONNOR LLC

CRD 108754

CHICAGO, IL

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:f89f9a07-ba00-678a-1738-8192ae78a7a8

Data as of Mar 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:25 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

OC 535 OFFSHORE FUND SPC - SEGREGATED PORTFOLIO 5

Hedge Fund

$380M

Mar 5, 2020

Aug 29, 2018

dropped

021-312396

CL LONG/SHORT SELECT MASTER LIMITED

Hedge Fund

$366M

Nov 26, 2013

Feb 27, 2013

dropped

021-187247

O'CONNOR GLOBAL QUANTITATIVE EQUITY MASTER LIMITED

Hedge Fund

$271M

Feb 27, 2013

Mar 29, 2012

dropped

021-128263

O'CONNOR MARKET OPPORTUNITIES SPC FOR THE ACCOUNT OF GLOBAL EQUITY MARKETS SEGREGATED PORTFOLIO

Hedge Fund

$233M

Nov 26, 2013

Aug 21, 2012

dropped

021-182433

O'CONNOR CAPITAL STRUCTURE OPPORTUNITY MASTER LIMITED

Hedge Fund

$210M

Feb 27, 2013

Mar 29, 2012

dropped

021-126646

NINETEEN77 ENVIRONMENTAL FOCUS FUND (CAYMAN) MASTER LIMITED

Hedge Fund

$190M

Feb 22, 2024

215

Aug 28, 2020

reported

021-394582

NINETEEN77 US EQUITIES LONG/SHORT SELECT MASTER LIMITED

Hedge Fund

$113M

Jun 20, 2017

Feb 27, 2013

dropped

021-187232

O'CONNOR GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT (LEVERED) MASTER LIMITED

Hedge Fund

$113M

Jun 20, 2017

Mar 29, 2012

dropped

021-9999999999

O'CONNOR SUSTAINABILITY LONG/SHORT EQUITY MASTER LIMITED

Hedge Fund

$109M

Jun 10, 2013

Nov 8, 2012

dropped

021-182458

NINETEEN77 GLOBAL MULTI STRATEGY ALPHA IV LIMITED

Hedge Fund

$69.5M

Mar 5, 2020

Mar 30, 2016

dropped

n/a

NINETEEN77 GLOBAL FUNDAMENTAL MARKET NEUTRAL LONG/SHORT MASTER LIMITED

Hedge Fund

$58.9M

Feb 24, 2021

Mar 29, 2012

dropped

021-104874

OCONNOR OPPORTUNISTIC STRATEGIES LIMITED

Hedge Fund

$56.1M

Feb 27, 2013

Mar 29, 2012

dropped

021-142415

O'CONNOR PROPERTY STRATEGIES MASTER LIMITED

Hedge Fund

$47.6M

Jul 9, 2014

Mar 29, 2012

dropped

021-160276

O'CONNOR EMERGING MARKETS LONG/SHORT MASTER LIMITED

Hedge Fund

$38.5M

Jul 9, 2014

Mar 29, 2012

dropped

n/a

O'CONNOR ASIA PACIFIC EQUITIES LONG/SHORT MASTER LIMITED

Hedge Fund

$11.4M

Jun 20, 2017

Nov 26, 2013

dropped

n/a

NINETEEN77 GLOBAL MULTI STRATEGY ALPHA (LEVERED) MASTER LIMITED

Hedge Fund

$9.9M

Mar 29, 2019

Mar 30, 2016

dropped

021-184503

NINETEEN77 TRADING VALUE LLC

Hedge Fund

$416,917

Dec 15, 2021

Mar 29, 2012

dropped

021-104878

NINTEEN77 CHINA LONG/SHORT ALPHA STRATEGIES MASTER LIMITED

Hedge Fund

Mar 30, 2024

Aug 11, 2023

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Ahkong, Bernard, Shinmen

CIO, GLOBAL MULTI-STRATEGY PORTFOLIO

yes

03/2024

Sep 30, 2022

Mar 30, 2024

Burke, Connor, Barrett

GENERAL COUNSEL

yes

10/2021

Mar 31, 2022

Mar 30, 2024

Gill, Barry, John

UBS ASSET MANAGEMENT - HEAD OF INVESTMENTS

yes

10/2019

Mar 31, 2021

Mar 30, 2024

HILTABRAND, DAVID, BLAKE

GLOBAL HEAD OF O'CONNOR

yes

09/2022

Sep 30, 2022

Mar 30, 2024

Mathys, Charles, Raymond

CHIEF COMPLIANCE OFFICER

yes

02/2020

Mar 29, 2012

Mar 30, 2024

UBS AG (ZURICH)

Member

yes

04/2004

Mar 29, 2012

Mar 30, 2024

UBS AMERICAS HOLDING LLC

Shareholder

yes

08/2015

Aug 31, 2015

Mar 30, 2024

UBS AMERICAS INC.

Shareholder

yes

10/2003

Jan 8, 2020

Mar 30, 2024

UBS ASSET MANAGEMENT (AMERICAS) INC.

Shareholder

yes

12/2019

Jan 8, 2020

Mar 30, 2024

UBS GROUP AG

PARENT COMPANY

yes

11/2014

Dec 5, 2014

Mar 30, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

UBS FINANCIAL SERVICES INC.

n/a

Wirehouse

$916B

yes

UBS ASSET MANAGEMENT (AMERICAS) INC.

n/a

Mixed wealth

$588B

yes

n/a

CREDIT SUISSE ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$60B

yes

n/a

UBS HEDGE FUND SOLUTIONS LLC

n/a

Former SEC adviser

$39B

yes

n/a

CREDIT SUISSE ASSET MANAGEMENT LIMITED

n/a

Asset manager

$11B

yes

n/a

UBS REALTY INVESTORS LLC

n/a

Asset manager

$2.3B

yes

n/a

CREDIT SUISSE SECURITIES (USA) LLC

n/a

Former SEC adviser

$805M

yes

n/a

UBS FARMLAND INVESTORS LLC

n/a

No RAUM reported

yes

n/a

UBS ASSET MANAGEMENT (TAIWAN) LTD.

n/a

yes

n/a

UBS (LUXEMBOURG) S.A.

n/a

yes

n/a

UBS AG

n/a

yes

n/a

UBS ASSET MANAGEMENT (AUSTRALIA) LTD.

n/a

yes

n/a

UBS ASSET MANAGEMENT (CANADA) CO

n/a

yes

n/a

UBS ASSET MANAGEMENT (DEUTSCHLAND) GMBH

n/a

yes

n/a

UBS ASSET MANAGEMENT (HONG KONG) LIMITED

n/a

yes

n/a

UBS ASSET MANAGEMENT (ITALIA) SGR S.P.A.

n/a

yes

n/a

UBS ASSET MANAGEMENT (JAPAN) LTD.

n/a

yes

n/a

UBS ASSET MANAGEMENT (SHANGHAI) LIMITED

n/a

yes

n/a

UBS ASSET MANAGEMENT (SINGAPORE) LTD.

n/a

yes

n/a

UBS ASSET MANAGEMENT (UK) LIMITED

n/a

yes

n/a

UBS ASSET MANAGEMENT (US) INC.

n/a

yes

n/a

UBS ASSET MANAGEMENT SWITZERLAND AG

n/a

yes

n/a

UBS ASSET MANAGEMENT TRUST COMPANY

n/a

yes

n/a

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

n/a

yes

n/a

UBS FUND MANAGEMENT (IRELAND) LIMITED

n/a

yes

n/a

UBS FUND MANAGEMENT (LUXEMBOURG) S.A.

n/a

yes

n/a

UBS FUND SERVICES (LUXEMBOURG) S.A.

n/a

yes

n/a

UBS FUND SERVICES (USA) LLC

n/a

yes

n/a

UBS GROUP AG

n/a

UBS SECURITIES LLC

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

London

n/a

United Kingdom

Stamford

United States

Singapore

n/a

Singapore

Shanghai

n/a

China

HONG KONG

n/a

China

Zurich

n/a

Switzerland

FORT LAUDERDALE

United States

Nashville

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 30, 2024

$14B

$11B

2022

Mar 31, 2023

$15B

$11B

2021

Mar 31, 2022

$21B

$20B

$16B

2020

Mar 31, 2021

$14B

$12B

2019

Mar 27, 2020

$9.4B

$9.3B

$9.1B

2018

Mar 29, 2019

$8.3B

121

$8.3B

2017

Mar 29, 2018

$12B

142

$12B

2016

Mar 31, 2017

$12B

157

n/a

$12B

2015

Mar 30, 2016

$13B

158

n/a

$13B

2014

Mar 31, 2015

$13B

161

n/a

$13B

2013

Mar 28, 2014

$13B

142

n/a

$13B

2012

Mar 28, 2013

$16B

178

n/a

$16B

2011

Mar 29, 2012

$15B

n/a

$14B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$14B

$15B

-7.9%

$14B

-1.2%