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.
Former SEC-registered adviser
UBS Oconnor LLC
Latest filing Mar 30, 2024
First filing on the tape Mar 29, 2012 · 45 filings
RAUM
$14B
reported, Item 5.F
Discretionary
99%
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
74
58 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
13
$11B gross assets
History
45 filings and snapshots on the tape
RAUM$14B as of Mar 30, 2024
Mar 29, 2012$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2024
Mar 28, 20130 then
Employees (5.A)74 as of Mar 30, 2024
Mar 28, 2013178 then
Private funds13 as of Mar 30, 2024
Mar 29, 20129 then
RAUM -7.9% over the last fiscal year-1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2024; 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
- $344MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.9%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $12B, 39 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$14B99%
- Insurance companies$122M0.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 40reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12B for 39 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
18 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Shinmen Bernard Ahkong · Cio, Global Multi-Strategy Portfoliocontrolsince 03/2024 · owns less than 5%
- Barrett Connor Burke · General Counselcontrolsince 10/2021 · owns less than 5%
- John Barry Gill · UBS Asset Management - Head Of Investmentscontrolsince 10/2019 · owns less than 5%
- Blake David Hiltabrand · Global Head Of O'Connorcontrolsince 09/2022 · owns less than 5%
- Raymond Charles Mathys · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
Entity owners
- UBS Asset Management (Americas) Inc. · Shareholderdirect · owns 75% or more
- UBS Ag (Zurich) · Memberindirect · owns 75% or more of UBS Americas Holding LLC · public reporting company
- UBS Americas Holding LLC · Shareholderindirect · owns 75% or more of UBS Americas Inc.
- UBS Americas Inc. · Shareholderindirect · owns 75% or more of UBS Asset Management (Americas) Inc.
- UBS Group Ag · Parent Companyindirect · owns 75% or more of UBS Ag · public reporting company
Related persons
Schedule D 7.A
- UBS Asset Management Credit Investments Group (Uk) Ltdinvestment adviserpooled vehicle sponsornRAUM $11B
- Credit Suisse Asset Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $60B
- Credit Suisse Securities (USA) LLCbroker-dealerinvestment advisertrust companypooled vehicle sponsornRAUM $805M
- UBS Asset Management (Taiwan) Ltd.investment advisern
- UBS (Luxembourg) S.A.broker-dealerpooled vehicle sponsorn
- UBS Agbroker-dealerinvestment adviserpooled vehicle sponsorCPO or CTAy
- UBS Asset Management (Americas) LLCinvestment adviserbanknRAUM $588B
- UBS Asset Management (Australia) Ltd.investment adviserpooled vehicle sponsorn
- UBS Asset Management (Canada) Coinvestment adviserpooled vehicle sponsorn
- UBS Asset Management (Deutschland) Gmbhinvestment advisern
- UBS Asset Management (Hong Kong) Limitedinvestment advisern
- UBS Asset Management (Italia) Sgr S.P.A.investment advisern
- UBS Asset Management (Japan) Ltd.investment advisern
- UBS Asset Management (Shanghai) Limitedinvestment advisern
- UBS Asset Management (Singapore) Ltd.investment advisern
- UBS Asset Management (Uk) Limitedinvestment advisern
- UBS Asset Management (US) Inc.broker-dealern
- UBS Asset Management Switzerland Agbroker-dealern
- UBS Asset Management Trust Companyn
- UBS Farmland Investors LLCinvestment advisern
- UBS Financial Services Inc.broker-dealerinvestment advisertrust companycustodiannRAUM $916B
- UBS Financial Services Incorporated Of Puerto Ricobroker-dealerinvestment advisern
- UBS Fund Management (Ireland) Limitedinvestment advisern
- UBS Fund Management (Luxembourg) S.A.investment advisern
- UBS Fund Services (Luxembourg) S.A.pooled vehicle sponsorn
- UBS Fund Services (USA) LLCbroker-dealern
- UBS Group Agy
- UBS Hedge Fund Solutionsinvestment adviserbankpooled vehicle sponsornRAUM $39B
- UBS Realty Investors LLCinvestment adviserpooled vehicle sponsorLP sponsornRAUM $2.3B
- UBS Securities LLCbroker-dealerbanktrust companyn
Advisers that list UBS Oconnor LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY27 employees
- London, United Kingdom11 employees
- Stamford, CT8 employees
- Singapore, Singapore5 employees
- Shanghai, China4 employees
- Hong Kong, China3 employees
- Zurich, Switzerland2 employees
- Nashville, TN1 employees
- Fort Lauderdale, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 42 to 40Feb 22, 2024 to Mar 30, 2024
- BD registered reps · 8 to 11Feb 22, 2024 to Mar 30, 2024
- Pooled vehicle clients · 41 to 39Feb 22, 2024 to Mar 30, 2024
- Assets in custody · $13B to $12BFeb 22, 2024 to Mar 30, 2024
- Employees · 72 to 74Feb 22, 2024 to Mar 30, 2024
- Private funds · 14 to 13Feb 22, 2024 to Mar 30, 2024
- Discretionary RAUM · $15B to $14BFeb 22, 2024 to Mar 30, 2024
- Non-discretionary RAUM · $0 to $122MFeb 22, 2024 to Mar 30, 2024
- Pooled vehicle RAUM · $15B to $14BFeb 22, 2024 to Mar 30, 2024
- RAUM · $15B to $14BFeb 22, 2024 to Mar 30, 2024
- Private funds · 11 to 14Aug 11, 2023 to Feb 22, 2024
- Private funds · 10 to 11Jul 11, 2023 to Aug 11, 2023
- Accounts · 37 to 42Jan 4, 2023 to Mar 31, 2023
- Advisory employees · 67 to 58Jan 4, 2023 to Mar 31, 2023
- BD registered reps · 10 to 8Jan 4, 2023 to Mar 31, 2023
- Pooled vehicle clients · 36 to 41Jan 4, 2023 to Mar 31, 2023
- Assets in custody · $18B to $13BJan 4, 2023 to Mar 31, 2023
- Employees · 67 to 72Jan 4, 2023 to Mar 31, 2023
- Other offices · 7 to 9Jan 4, 2023 to Mar 31, 2023
- Discretionary RAUM · $20B to $15BJan 4, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $135M to $0Jan 4, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $20B to $15BJan 4, 2023 to Mar 31, 2023
- RAUM · $21B to $15BJan 4, 2023 to Mar 31, 2023
- Private funds · 9 to 10Mar 31, 2022 to May 26, 2022
- Accounts · 28 to 37Dec 15, 2021 to Mar 31, 2022
- Advisory employees · 53 to 67Dec 15, 2021 to Mar 31, 2022
- BD registered reps · 6 to 10Dec 15, 2021 to Mar 31, 2022
- Pooled vehicle clients · 27 to 36Dec 15, 2021 to Mar 31, 2022
- Assets in custody · $13B to $18BDec 15, 2021 to Mar 31, 2022
- Employees · 53 to 67Dec 15, 2021 to Mar 31, 2022
- Other offices · 6 to 7Dec 15, 2021 to Mar 31, 2022
- Private funds · 10 to 9Dec 15, 2021 to Mar 31, 2022
- Discretionary RAUM · $14B to $20BDec 15, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $132M to $135MDec 15, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $14B to $20BDec 15, 2021 to Mar 31, 2022
- RAUM · $14B to $21BDec 15, 2021 to Mar 31, 2022
- Private funds · 8 to 10Mar 31, 2021 to Jun 30, 2021
- Accounts · 22 to 28Feb 24, 2021 to Mar 31, 2021
- Advisory employees · 50 to 53Feb 24, 2021 to Mar 31, 2021
- Pooled vehicle clients · 21 to 27Feb 24, 2021 to Mar 31, 2021
Signals
18 dated events
- 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)Mar 30, 2024 · Control person left · inference
- Ubs Oconnor Llc reported RAUM $14.9B, down 27% from $20.5B (2023-01-04 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Casey Richard Talbot (Co-Cio, Global Multi-Strategy Portfolio) appeared on Schedule A of Ubs Oconnor LlcSep 30, 2022 · Control person joined · fact
- Blake David Hiltabrand (Global Head Of O'Connor) appeared on Schedule A of Ubs Oconnor LlcSep 30, 2022 · Control person joined · fact
- Shinmen Bernard Ahkong (Co-Cio, Global Multi-Strategy Portfolio) appeared on Schedule A of Ubs Oconnor LlcSep 30, 2022 · Control person joined · fact
- James Nicholas Vagra (Chief Operating Officer) no longer on Schedule A of Ubs Oconnor Llc (listed 2022-05-26, absent 2022-09-30)Sep 30, 2022 · Control person left · inference
- Gary Kevin Russell (Chief Investment Officer) no longer on Schedule A of Ubs Oconnor Llc (listed 2022-05-26, absent 2022-09-30)Sep 30, 2022 · Control person left · inference
- Ubs Oconnor Llc reported RAUM $20.5B, up 44% from $14.3B (2021-12-15 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- D Andrew Hollenbeck (General Counsel) no longer on Schedule A of Ubs Oconnor Llc (listed 2021-12-15, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Barrett Connor Burke (General Counsel) appeared on Schedule A of Ubs Oconnor LlcMar 31, 2022 · Control person joined · fact
- Ubs Oconnor Llc reported RAUM $14.3B, up 52% from $9.4B (2021-02-24 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Suni Harford (President Ubs Asset Management) no longer on Schedule A of Ubs Oconnor Llc (listed 2021-02-24, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- John Barry Gill (Ubs Asset Management - Head Of Investments) appeared on Schedule A of Ubs Oconnor LlcMar 31, 2021 · Control person joined · fact
- Raymond Charles Mathys (Chief Compliance Officer) appeared on Schedule A of Ubs Oconnor LlcMar 5, 2020 · Control person joined · fact
- Nicholas Michael Esposito (Chief Compliance Officer) no longer on Schedule A of Ubs Oconnor Llc (listed 2020-01-08, absent 2020-03-05)Mar 5, 2020 · Control person left · inference
- Nicholas Michael Esposito (Chief Compliance Officer) appeared on Schedule A of Ubs Oconnor LlcJun 25, 2019 · Control person joined · fact
- Salvatore Digangi (Chief Compliance Officer) no longer on Schedule A of Ubs Oconnor Llc (listed 2019-03-29, absent 2019-06-25)Jun 25, 2019 · Control person left · inference
- Ubs Oconnor Llc reported RAUM $8.3B, down 31% from $12.1B (2018-08-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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