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 Securities LLC

Former SEC-registered adviserNew York, New YorkCRD 7654SEC 801-67178IAPD
Latest filing Jan 24, 2013
First filing on the tape Nov 14, 2011 · 37 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2,700
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 24, 2013
Nov 14, 20110 then
Employees (5.A)2,700 as of Jan 24, 2013
Nov 7, 20122,700 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 24, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • David Andrew Bleustein · Managing Director, US Equities Researchcontrol
    since 03/2011 · owns less than 5%
  • Stephen E. Cummings · Managing Director, Chairman, Investment Banking Departmentcontrol
    since 04/2012 · owns less than 5%
  • Per Erik Dyrvik · Managing Director, Chief Financial Officercontrol
    since 08/2007 · owns less than 5%
  • Peter Charles Forlenza · Managing Director-Americas Head Of Equitiescontrol
    since 03/2012 · owns less than 5%
  • Thomas Byrne Jr Fox · Managing Director, Head Of Americas Global Capital Marketscontrol
    since 05/2011 · owns less than 5%
  • Reinhardt Olsen · President, Ceo, Md Of UBS Securites LLC And Americas Head Of Prime Servicescontrol
    since 10/2011 · owns less than 5%
  • Matthew John Zola · Managing Director-Head Ficc Americascontrol
    since 03/2012 · owns less than 5%
  • Thomas Giacalone · Managing Director, Head Of Americas Ib Operations
    since 05/2011 · owns less than 5%
  • David H Kelly · Managing Director-Managing Attorney
    since 12/2011 · owns less than 5%
  • Bryan Michael Murtagh · Chief Compliance Officer
    since 01/2012 · owns less than 5%
  • Dana Lynn Platt · Chief Compliance Officer-Investment Advisor
    since 09/2012 · owns less than 5%
Entity owners
  • UBS Ag · Member, Non-Voting
    direct · owns 25% to 50%
  • UBS Americas Inc · Member, Voting
    direct · owns 50% to 75%
  • UBS Ag · Shareholder
    indirect · owns 25% to 50% of UBS Americas Inc.
Related persons
Schedule D 7.A
Advisers that list UBS Securities LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Boston, MA
  • Chicago, IL
  • New York, NY
  • San Francisco, CA
What changed
consecutive filings, newest first
  • Advisory employees · unset to 0.0
    Sep 27, 2012 to Nov 7, 2012
  • BD registered reps · unset to 2400.0
    Sep 27, 2012 to Nov 7, 2012
  • Employees · unset to 2700.0
    Sep 27, 2012 to Nov 7, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 23, 2011 to Jan 10, 2012
  • HQ city · STAMFORD to NEW YORK
    Dec 23, 2011 to Jan 10, 2012
  • HQ state · CT to NY
    Dec 23, 2011 to Jan 10, 2012
Signals
No event on the tape.
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 Securities 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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