DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
UBS Realty Investors LLC
Latest filing Jul 12, 2026
First filing on the tape Nov 17, 2011 · 51 filings
SEC status approved since Jan 5, 1994
RAUM
$2.3B
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
94
25 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
3
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$2.3B as of Jul 12, 2026
Mar 30, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 12, 2026
Mar 28, 20130 then
Employees (5.A)94 as of Jul 12, 2026
Mar 28, 2013175 then
Private funds3 as of Jul 12, 2026
Mar 30, 20121 then
RAUM -7.7% over the last fiscal year-8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 12, 2026; 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
- $779MderivedRAUM 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
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $683M, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $683M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=9.0derived
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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Trumbull Property Income Fund LP | Other Private Fund | $2.6B | 122 | Mar 30, 2012 |
| UBS Cold Storage Family Office Fund I LP | Other Private Fund | $45.1M | 6 | Mar 31, 2023 |
| Trumbull (US) Core Multi-Fund LP | Other Private Fund | $15.5M | 11 | Aug 23, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Michael Paul Canning · Managing Directorcontrolsince 03/2011 · owns less than 5%
- S Rodney Chu · Managing Directorcontrolsince 04/2019 · owns less than 5%
- Anne Tiffany Gherlone · Managing Directorcontrolsince 03/2020 · owns less than 5%
- G Matthew Johnson · President & Ceocontrolsince 02/2020 · owns less than 5%
- S Peter Juliani · Executive Directorcontrolsince 07/2023 · owns less than 5%
- Mark Steven Kapiloff · General Counsel/ Secretarycontrolsince 06/2014 · owns less than 5%
- Richard Lara · Executive Directorcontrolsince 07/2024 · owns less than 5%
- Gerard Jeffrey Maguire · Managing Directorcontrolsince 02/2006 · owns less than 5%
- Mario Maturo · Exucutive Directorcontrolsince 06/2020 · owns less than 5%
- James Thomas O'Shea · Managing Directorcontrolsince 03/2007 · owns less than 5%
- Simon Nicholas Pile · Chief Compliance Officercontrolsince 09/2014 · owns less than 5%
- D Amy White · Managing Directorcontrolsince 07/2022 · owns less than 5%
Entity owners
- UBS Americas Inc. · Non Managing Memberdirect · owns 75% or more
- UBS Ag, Zurich, Switzerland · Memberindirect · owns 75% or more of UBS Americas Holding LLC
- UBS Americas Holding LLC · Shareholderindirect · owns 75% or more of UBS Americas Inc.
- UBS Group Ag · Shareholderindirect · owns 75% or more of UBS Ag, Zurich, Switzerland · public reporting company
Related persons
Schedule D 7.A
- UBS Asset Management Credit Investments Group (Uk) Ltdinvestment adviserpooled vehicle sponsornRAUM $11B
- Credit Suisse Securities (USA) LLCbroker-dealerinvestment advisertrust companypooled vehicle sponsornRAUM $805M
- UBS Asset Management (Japan) Ltd.investment advisern
- UBS (Luxembourg) S.A.broker-dealerpooled vehicle sponsorn
- UBS Agbroker-dealerinvestment adviserpooled vehicle sponsorCPO or CTAy
- UBS Asset Management ( Deutschland) Gmbhinvestment advisern
- UBS Asset Management (Americas) LLCinvestment adviserbanknRAUM $588B
- UBS Asset Management (Australia) Ltdinvestment advisern
- UBS Asset Management (Canada) Coinvestment adviserpooled vehicle sponsorn
- UBS Asset Management (Hong Kong) Limitedinvestment advisern
- UBS Asset Management (Italia) Sgr S.P.A.investment advisern
- UBS Asset Management (Singapore) Ltd.investment advisern
- UBS Asset Management (Uk) Ltdinvestment advisern
- UBS Asset Management (US) Inc.broker-dealern
- UBS Asset Management Switzerland Aginvestment advisern
- UBS Asset Management Trust Companyn
- UBS Farmland Investors LLCinvestment advisery
- UBS Financial Services Inc.broker-dealerinvestment advisertrust companynRAUM $916B
- UBS Fund Management (Ireland) Ltdinvestment advisern
- UBS Fund Management (Luxembourg) S.A.investment advisern
- UBS Fund Management (Switzerland) Agpooled vehicle sponsorn
- UBS Fund Services (Luxembourg) S.A.pooled vehicle sponsorn
- UBS Fund Services (USA) LLCbroker-dealery
- UBS Group Agy
- UBS Real Estate Gmbhinvestment advisern
- UBS Securities LLCbroker-dealerbanktrust companyCPO or CTAn
Advisers that list UBS Realty Investors LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA3 employees
- Chicago, IL2 employees
- Dallas, TX1 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Advisory employees · 27 to 25Mar 28, 2025 to Mar 31, 2026
- BD registered reps · 8 to 9Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $589M to $683MMar 28, 2025 to Mar 31, 2026
- Employees · 110 to 94Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.5B to $2.3BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.5B to $2.3BMar 28, 2025 to Mar 31, 2026
- RAUM · $2.5B to $2.3BMar 28, 2025 to Mar 31, 2026
- BD registered reps · 7 to 8Jul 25, 2024 to Mar 28, 2025
- Assets in custody · $171M to $589MJul 25, 2024 to Mar 28, 2025
- Employees · 153 to 110Jul 25, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jul 25, 2024 to Mar 28, 2025
- Other offices · 4 to 5Jul 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.7B to $2.5BJul 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.7B to $2.5BJul 25, 2024 to Mar 28, 2025
- RAUM · $2.7B to $2.5BJul 25, 2024 to Mar 28, 2025
- Advisory employees · 29 to 27Jul 11, 2023 to Mar 29, 2024
- BD registered reps · 8 to 7Jul 11, 2023 to Mar 29, 2024
- Assets in custody · $274M to $171MJul 11, 2023 to Mar 29, 2024
- Employees · 155 to 153Jul 11, 2023 to Mar 29, 2024
- Other offices · 3 to 4Jul 11, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.1B to $2.7BJul 11, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.1B to $2.7BJul 11, 2023 to Mar 29, 2024
- RAUM · $3.1B to $2.7BJul 11, 2023 to Mar 29, 2024
- Accounts · 2 to 3Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 26 to 29Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 10 to 8Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 3Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $887M to $274MMar 31, 2022 to Mar 31, 2023
- Employees · 158 to 155Mar 31, 2022 to Mar 31, 2023
- Other offices · 2 to 3Mar 31, 2022 to Mar 31, 2023
- Private funds · 2 to 3Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.5B to $3.1BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.5B to $3.1BMar 31, 2022 to Mar 31, 2023
- RAUM · $3.5B to $3.1BMar 31, 2022 to Mar 31, 2023
- Advisory employees · 25 to 26Sep 9, 2021 to Mar 31, 2022
- BD registered reps · 8 to 10Sep 9, 2021 to Mar 31, 2022
- Assets in custody · $579M to $887MSep 9, 2021 to Mar 31, 2022
- Employees · 193 to 158Sep 9, 2021 to Mar 31, 2022
- Discretionary RAUM · $3.7B to $3.5BSep 9, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $3.7B to $3.5BSep 9, 2021 to Mar 31, 2022
Signals
25 dated events
- Ann Catherine Schuster (Executive Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2024-03-29, absent 2024-07-25)Jul 25, 2024 · Control person left · inference
- Christopher Clayton (Executive Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2024-03-29, absent 2024-07-25)Jul 25, 2024 · Control person left · inference
- Richard Lara (Executive Director) appeared on Schedule A of Ubs Realty Investors LlcJul 25, 2024 · Control person joined · fact
- Timothy Walsh (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2023-03-31, absent 2023-07-11)Jul 11, 2023 · Control person left · inference
- Peter Juliani (Executive Director) appeared on Schedule A of Ubs Realty Investors LlcJul 11, 2023 · Control person joined · fact
- Elliott Kurt Edwards (Executive Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2023-03-31, absent 2023-07-11)Jul 11, 2023 · Control person left · inference
- Amy White (Managing Director) appeared on Schedule A of Ubs Realty Investors LlcMar 31, 2023 · Control person joined · fact
- Lee Ronald Lanier (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Marie Carol Kuta (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Louis James Lynch (Director Of Operations) no longer on Schedule A of Ubs Realty Investors Llc (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Elliott Kurt Edwards (Executive Director) appeared on Schedule A of Ubs Realty Investors LlcMar 31, 2022 · Control person joined · fact
- Michael James Fishman (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2021-03-31, absent 2021-09-01)Sep 1, 2021 · Control person left · inference
- Edward Thomas Enger (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2021-03-31, absent 2021-09-01)Sep 1, 2021 · Control person left · inference
- Lee Ronald Lanier (Managing Director) appeared on Schedule A of Ubs Realty Investors LlcMar 31, 2021 · Control person joined · fact
- Ann Catherine Schuster (Executive Director) appeared on Schedule A of Ubs Realty Investors LlcMar 31, 2021 · Control person joined · fact
- Christopher Clayton (Executive Director) appeared on Schedule A of Ubs Realty Investors LlcMar 31, 2021 · Control person joined · fact
- Mario Maturo (Exucutive Director) appeared on Schedule A of Ubs Realty Investors LlcMar 31, 2021 · Control person joined · fact
- Terrance William Hughes (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2020-02-06, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Anne Tiffany Gherlone (Executive Director) appeared on Schedule A of Ubs Realty Investors LlcMar 30, 2020 · Control person joined · fact
- G Matthew Johnson (President & Ceo) appeared on Schedule A of Ubs Realty Investors LlcFeb 6, 2020 · Control person joined · fact
- Hayward Matthew Lynch (President & Ceo) no longer on Schedule A of Ubs Realty Investors Llc (listed 2019-03-29, absent 2020-02-06)Feb 6, 2020 · Control person left · inference
- Roderick John Connelly (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2019-03-29, absent 2020-02-06)Feb 6, 2020 · Control person left · inference
- Wallace Gary Gowdy (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2019-03-29, absent 2020-02-06)Feb 6, 2020 · Control person left · inference
- Rodney Chu (Managing Director) appeared on Schedule A of Ubs Realty Investors LlcMar 29, 2019 · Control person joined · fact
- Anthony Kevin Crean (Managing Director) no longer on Schedule A of Ubs Realty Investors Llc (listed 2019-02-05, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- UBS Realty Investors LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 860-616-9000reportedpublic record, Form ADV, Jul 12, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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
Across the graphs
UBS Realty Investors LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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