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Former SEC-registered adviser

U••••• S••••• S•••• A•• C••••••• P•••••• F•••

Former SEC-registered adviserNew York, New YorkCRD 106864SEC 801-39528IAPD
Latest filing Jun 27, 2017
First filing on the tape Nov 9, 2011 · 10 filings
RAUM
$9.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
72
17 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$5.1B gross assets
History
10 filings and snapshots on the tape
RAUM$9.0B as of Mar 30, 2017
Mar 20, 2012$10B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 20, 20120 then
Employees (5.A)72 as of Mar 30, 2017
Mar 28, 201362 then
Private funds2 as of Mar 30, 2017
Mar 29, 20162 then
RAUM +0.1% over the last fiscal year-3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 27, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$816MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Custody
$9.0B, 11 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • the adviser acts as qualified custodian (9.D.1)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$9.0B for 11 clientsreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      U•• E••••• F••• L•Other Private Fund$3.4B7Mar 29, 2016
      U•• F•••• I••••• F••• L•Other Private Fund$1.6B4Mar 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• C••••••• M•••• · Member/Director/Chairman Of Board/Chairman Of Investment Committeecontrol
        since 03/2016 · owns less than 5%
      • D••••••• W••••••• N•••• · Presidentcontrol
        since 08/2011 · owns less than 5%
      • E••••••• R••••• S•••• · Vice President-Investmentscontrol
        since 08/2011 · owns less than 5%
      • F•••• K•••••••• D••• · Comptroller/Member/Directorcontrol
        since 01/2016 · owns less than 5%
      • G••••••••• R•••••• T••• · Member/Directorcontrol
        since 03/2017 · owns less than 5%
      • H•••••••• W••••••• P••••• · Member/Directorcontrol
        since 03/2017 · owns less than 5%
      • H••••••• D••••• R•••••• · General Counsel/Chief Compliance Officercontrol
        since 10/2013 · owns less than 5%
      • J•••• A•••• S••••• · Member/Treasurer/Directorcontrol
        since 01/2016 · owns less than 5%
      • W••••• G•••• W•••••• · Member/Directorcontrol
        since 01/2016 · owns less than 5%
      • W•••••••• J•••• M•••••• · Member/Director/Vice President-Administration/Chairman Of Administration Committeecontrol
        since 07/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Pittsburgh, PA
      What changed
      consecutive filings, newest first
      • Assets in custody · $9.0B to $9.0B
        Mar 29, 2016 to Mar 30, 2017
      • Employees · 82 to 72
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $9.0B to $9.0B
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $9.0B to $9.0B
        Mar 29, 2016 to Mar 30, 2017
      • Advisory employees · 16 to 17
        May 28, 2015 to Mar 29, 2016
      • Assets in custody · $10B to $9.0B
        May 28, 2015 to Mar 29, 2016
      • Employees · 89 to 82
        May 28, 2015 to Mar 29, 2016
      • Private funds · unset to 2
        May 28, 2015 to Mar 29, 2016
      • Discretionary RAUM · $10B to $9.0B
        May 28, 2015 to Mar 29, 2016
      • RAUM · $10B to $9.0B
        May 28, 2015 to Mar 29, 2016
      • Related insurance company · true to false
        May 28, 2015 to Mar 29, 2016
      • Accounts · 16 to 11
        Mar 31, 2014 to Mar 31, 2015
      • Business name · U••••• S••••• S•••• • C••••••• P•••••• F••• I•• to U••••• S••••• S•••• A•• C••••••• P•••••• F•••
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $9.9B to $10B
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 63 to 89
        Mar 31, 2014 to Mar 31, 2015
      • Legal name · UNITED S••••• S•••• & C••••••• PENSION FUND to U••••• S••••• S•••• A•• C••••••• P•••••• F•••
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $9.9B to $10B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $9.9B to $10B
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 15 to 16
        Oct 23, 2013 to Mar 31, 2014
      • Assets in custody · $11B to $9.9B
        Oct 23, 2013 to Mar 31, 2014
      • Employees · 62 to 63
        Oct 23, 2013 to Mar 31, 2014
      • Financial planning clients · 0 to unset
        Oct 23, 2013 to Mar 31, 2014
      • Organization form · Corporation to Other (specify)
        Oct 23, 2013 to Mar 31, 2014
      • Discretionary RAUM · $11B to $9.9B
        Oct 23, 2013 to Mar 31, 2014
      • RAUM · $11B to $9.9B
        Oct 23, 2013 to Mar 31, 2014
      • Accounts · 10 to 15
        Mar 20, 2012 to Mar 28, 2013
      • Advisory employees · unset to 16.0
        Mar 20, 2012 to Mar 28, 2013
      • Assets in custody · $10B to $11B
        Mar 20, 2012 to Mar 28, 2013
      • Employees · unset to 62.0
        Mar 20, 2012 to Mar 28, 2013
      • Discretionary RAUM · $10B to $11B
        Mar 20, 2012 to Mar 28, 2013
      • RAUM · $10B to $11B
        Mar 20, 2012 to Mar 28, 2013
      • Advisory activities · 3 to 4
        Nov 9, 2011 to Mar 20, 2012
      • Assets in custody · $10B to $10B
        Nov 9, 2011 to Mar 20, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 9, 2011 to Mar 20, 2012
      • Discretionary RAUM · $10B to $10B
        Nov 9, 2011 to Mar 20, 2012
      • RAUM · $10B to $10B
        Nov 9, 2011 to Mar 20, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026