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 Fund Advisor, L.L.C.

Former SEC-registered adviserNew York, New YorkCRD 109213SEC 801-55537IAPD
Latest filing Oct 3, 2022
First filing on the tape Mar 30, 2012 · 26 filings
RAUM
$7.0B
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
40
$8.2B gross assets
History
26 filings and snapshots on the tape
RAUM$7.0B as of Mar 31, 2022
Mar 30, 2012$4.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of Mar 31, 2022
Mar 30, 20120 then
Employees (5.A)53 as of Mar 31, 2022
Apr 1, 201340 then
Private funds40 as of Mar 31, 2022
Mar 30, 201235 then
RAUM -4.1% over the last fiscal year+3.0% a year over threeIARs 20 to 0
Practice profile
derived from the filing of Oct 3, 2022; 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
$185MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-4.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$5.8B, 45 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$7.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
38reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$5.8B for 45 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
      Every departureEvery arrival
      Private funds
      48 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Alphakeys Millennium Fund LLCHedge Fund$1.4B1,886Mar 30, 2012
      Alphakeys Millennium Fund II, LLCHedge Fund$909M949Mar 30, 2012
      Alphakeys Renaissance Inst Equities Fund II, LLC - Ser BHedge Fund$737M1,019Mar 30, 2012
      Alphakeys Millennium Fund III, L.L.C.Hedge Fund$638M655Apr 1, 2013
      Alphakeys Real Estate Opportunity Fund V, LLCReal Estate Fund$449M1,142Mar 30, 2016
      Alphakeys Bcp Private Equity Fund Vii, LLCPrivate Equity Fund$404M768Mar 31, 2017
      Alphakeys Kkr Americas Fund Xii, LLCPrivate Equity Fund$364M448Mar 29, 2018
      Alphakeys Renaissance Inst Equities Fund I, LLCno longer reportedHedge Fund$349M400Mar 30, 2012
      Alphakeys European Real Estate Opportunities Fund II, LLCReal Estate Fund$280M615Mar 29, 2018
      Alphakeys Kkr Asian Fund III, LLCPrivate Equity Fund$212M390Mar 29, 2018
      Alphakeys Kkr Fund Xi, L.L.C.Private Equity Fund$171M515Apr 1, 2013
      Alphakeys Rialto Real Estate Fund II, L.L.C.Private Equity Fund$156M548Apr 1, 2014
      Alphakeys Kkr Energy Income Fund, L.L.C.Private Equity Fund$109M824Apr 1, 2014
      Alphakeys Real Estate Opportunity Fund IV, LLCReal Estate Fund$106M483Mar 30, 2012
      Alphakeys Kkr European Fund IV, LLCPrivate Equity Fund$98.5M300Mar 31, 2017
      Alphakeys Renaissance Inst Equities Fund II, LLC - Ser AHedge Fund$67.0M70Mar 30, 2012
      Alphakeys Carlyle Asia IV, L.L.C.Private Equity Fund$60.9M200Apr 1, 2014
      Alphakeys European Real Estate Opportunities Fund, LLCReal Estate Fund$48.8M472Mar 31, 2015
      Alphakeys Brasil Infrastructure Fund, LLCPrivate Equity Fund$45.8M166Mar 31, 2015
      Alphakeys Double Black Diamond Fund, L.L.C.no longer reportedHedge Fund$34.4M56Apr 1, 2013
      Alphakeys Select Series II, LLCno longer reportedPrivate Equity Fund$31.8M232Mar 30, 2012
      Alphakeys Gs Investment Partners (Offshore), Ltd.Hedge Fund$24.7M54Apr 1, 2013
      Alphakeys Select Series I, LLCno longer reportedPrivate Equity Fund$23.6M364Mar 30, 2012
      Alphakeys Select Series III, LLCno longer reportedPrivate Equity Fund$22.0M142Mar 30, 2012
      Alphakeys Gavea Fund LLCHedge Fund$21.6M51Mar 30, 2012
      Alpahkeys Carlyle Fund LLC Class A And Class Bno longer reportedPrivate Equity Fund$17.2M1,000Mar 30, 2012
      Alphakeys Carlyle Fund II LLCno longer reportedPrivate Equity Fund$16.5M294Mar 30, 2012
      Alphakeys Private Equity Fund Vii, LLCno longer reportedPrivate Equity Fund$13.0M498Mar 30, 2012
      Alphakeys Carlyle Realty Partners LPReal Estate Fund$5.1M452Mar 30, 2012
      Alphakeys Real Estate Opportunity Fund III, LLCReal Estate Fund$3.8M504Mar 30, 2012
      Alphakeys Real Estate Opportunity Fund II, LLCReal Estate Fund$3.5M366Mar 30, 2012
      Alphakeys Madison Dearborn Fund LLCPrivate Equity Fund$3.3M463Mar 30, 2012
      Alphakeys Real Estate Opportunity Fund LLCReal Estate Fund$3.3M514Mar 30, 2012
      Alphakeys Quadrangle Fund LLCPrivate Equity Fund$3.1M408Mar 30, 2012
      Alphakeys Private Equity Fund Vii-Supplemental, LLCno longer reportedPrivate Equity Fund$3.0M151Mar 30, 2012
      Alphakeys Private Equity Fund III, LLCPrivate Equity Fund$2.7M415Mar 30, 2012
      Alphakeys Cinven Fund LLCno longer reportedPrivate Equity Fund$2.2M281Mar 30, 2012
      Alphakeys Gs Investment Partners LLCHedge Fund$2.0M117Apr 1, 2013
      Alphakeys Distressed Opportunities Fund III, LLCPrivate Equity Fund$2.0M212Mar 30, 2012
      Alphakeys Pequot Private Equity Fund LLCno longer reportedPrivate Equity Fund$1.7M73Mar 30, 2012
      All funds of UBS Fund Advisor, L.L.C.
      Owners and control persons
      Schedule A and B, latest filing
      • Wesley Christopher Thome · Chief Compliance Officercontrol
        since 10/2022 · owns less than 5%
      Entity owners
      • Icapital Inc. · Sole Member
        indirect · owns 75% or more of Institutional Capital Network, Inc. · public reporting company
      • Institutional Capital Network, Inc. · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list UBS Fund Advisor, L.L.C. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 20 to 6
        Mar 31, 2022 to Oct 3, 2022
      • BD registered reps · 28 to 3
        Mar 31, 2022 to Oct 3, 2022
      • Employees · 53 to 6
        Mar 31, 2022 to Oct 3, 2022
      • Insurance-licensed employees · 20 to 0
        Mar 31, 2022 to Oct 3, 2022
      • State-registered IARs · 20 to 0
        Mar 31, 2022 to Oct 3, 2022
      • Accounts · 37 to 38
        Sep 21, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 37 to 38
        Sep 21, 2021 to Mar 31, 2022
      • Discretionary RAUM · $7.3B to $7.0B
        Sep 21, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $7.3B to $7.0B
        Sep 21, 2021 to Mar 31, 2022
      • RAUM · $7.3B to $7.0B
        Sep 21, 2021 to Mar 31, 2022
      • Accounts · 47 to 37
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 50 to 37
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 50 to 40
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $7.4B to $7.3B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $7.4B to $7.3B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $7.4B to $7.3B
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 50 to 47
        Jul 18, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Jul 18, 2019 to Mar 30, 2020
      • Discretionary RAUM · $6.4B to $7.4B
        Jul 18, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $6.4B to $7.4B
        Jul 18, 2019 to Mar 30, 2020
      • RAUM · $6.4B to $7.4B
        Jul 18, 2019 to Mar 30, 2020
      • Accounts · 45 to 50
        Jul 2, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 45 to 50
        Jul 2, 2018 to Mar 29, 2019
      • Private funds · 53 to 50
        Jul 2, 2018 to Mar 29, 2019
      • Discretionary RAUM · $5.8B to $6.4B
        Jul 2, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $5.8B to $6.4B
        Jul 2, 2018 to Mar 29, 2019
      • RAUM · $5.8B to $6.4B
        Jul 2, 2018 to Mar 29, 2019
      • Accounts · 46 to 45
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 45.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $5.4B to $5.8B
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Private funds · 48 to 53
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $5.2B to $5.8B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 5776458729.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $5.2B to $5.8B
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 47 to 46
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 47 to 48
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $5.2B to $5.2B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $5.2B to $5.2B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 46 to 47
        Nov 13, 2015 to Mar 30, 2016
      Signals
      2 dated events
      • Ubs Fund Advisor, L.L.C. reported 0 state-registered advisory representatives, down from 20 (2022-03-31 to 2022-10-03)
        Oct 3, 2022 · Advisor headcount change · derived
      • Wesley Christopher Thome (Chief Compliance Officer) appeared on Schedule A of Ubs Fund Advisor, L.L.C.
        Oct 3, 2022 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      UBS Fund Advisor, L.L.C. 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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