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 Willow Management, L.L.C.

Former SEC-registered adviserNew York, New YorkCRD 109347SEC 801-57401IAPD
Latest filing Mar 28, 2013
First filing on the tape Mar 29, 2012 · 2 filings
RAUM
$21.3M
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
122
49 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$21.3M as of Mar 28, 2013
Mar 29, 2012$137M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Mar 29, 20120 then
Employees (5.A): 122
Private funds: no history
RAUM -84% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2013; 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
$21.3MderivedRAUM 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
-84%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 investment companiesreportedItem 5.G
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)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Joseph William Ferri · Global Head Of Alternative & Quantitativecontrol
        since 10/2010 · owns less than 5%
      • Michael James Hnilo · General Counselcontrol
        since 10/2010 · owns less than 5%
      • James Nicholas Vagra · Chief Operating Officercontrol
        since 10/2010 · owns less than 5%
      • Sangkyun Sam Kim · Managing Member, Bond Streetcontrol
        since 06/1999 · owns 75% or more of Bond Street Capital, L.L.C.
      • Sal Frank Pluchino · Chief Compliance Officer
        since 07/2005 · owns less than 5%
      Entity owners
      • UBS Alternative And Quantitative Investments LLC · Managing Member
        direct · owns 75% or more
      • UBS Ag · Owner
        indirect · owns 75% or more of UBS Alternative And Quantitative Investments LLC · public reporting company
      • Bond Street Capital LLC · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Advisers that list UBS Willow Management, L.L.C. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Englewood Cliffs, NJ
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 49.0
        Mar 29, 2012 to Mar 28, 2013
      • BD registered reps · unset to 2.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 122.0
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $137M to $21.3M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $137M to $21.3M
        Mar 29, 2012 to Mar 28, 2013
      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