Ubs Alternative And Quantitative Investments LLC (Stamford)

Name: Ubs Alternative And Quantitative Investments LLC
Address: 677 Washington Boulevard, Stamford, CT, 06901
Telephone: 203-719-1428

Ubs Alternative And Quantitative Investments LLC is a large advisory firm based in Stamford. It manages $29.63 billion of regulatory assets for 92 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Connecticut, Illinois, and New York.

Ubs Alternative And Quantitative Investments provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ubs Alternative And Quantitative Investments: assets under management

The assets under management (AUM) of Ubs Alternative And Quantitative Investments LLC is $29.63 billion. The firm's AUM has grown by 228% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $13.45 billion in discretionary accounts and $16.18 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $162.07 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $1.8 billion.

Ubs Alternative And Quantitative Investments has custody of $6.58 million in cash and securities for 1 client in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ubs Alternative And Quantitative Investments LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Ubs Alternative And Quantitative Investments LLC

Bruce Huddleston Amlicke has served as the Chief Investment Officer since 1 Sep 2010 and Michael Thomas Welch is the Chief Executive Officer of Ubs Alternative And Quantitative Investments LLC family office. Ubs Group Ag joined the executive team most recently as the Parent Company.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ubs Ag (Zurich)	Member	1 Apr 2004	75% - 100%	foreign
Joseph Francis Scoby	General manager	1 Apr 2004	Other	2000764
Danny Stephan Schweizer	General manager	1 Apr 2004	Other	4679355
William Joseph Ferri	Global head of marketing	1 Apr 2004	Other	2677147
James Wayne Vanek	Chief technology officer	1 Apr 2004	Other	4369637
James Michael Hnilo	General counsel	1 Apr 2004	Other	4377601
Nicholas James Vagra	Chief operating officer	1 Apr 2004	Other	2692458
Charles Raymond Mathys	Chief compliance officer	1 Apr 2004	Other	2972488
Michael Thomas Welch	Chief executive officer/chief investment officer	1 Apr 2004	Other	1721357
David Kenneth Pritsker	Chief financial officer	1 Apr 2004	Other	2604180
William Anthony Brown	Deputy chief investment officer	1 Jun 2004	Other	1301106
James Anthony Hartmann	Chief compliance officer	1 Jun 2005	Other	2705002
Michael Thomas Welch	Special advisor	1 Oct 2005	Other	1721357
William Anthony Brown	Chief investment officer	1 Oct 2005	Other	1301106
William Joseph Ferri	Chief executive officer	1 Oct 2007	Other	2677147
Charles Raymond Mathys	Chief compliance officer	1 Jan 2009	Other	2972488
Joseph Francis Scoby	Global head of alternative and quantitative investments	1 Jan 2009	Other	2000764
Americo Carmine Nardis	Deputy chief investment officer	1 Mar 2010	Other	5774595
William Joseph Ferri	Global head of alternative and quantitative investments	1 Jul 2010	Other	2677147
Bruce Huddleston Amlicke	Chief investment officer	1 Sep 2010	Other	3159028
Frank Sal Pluchino	Chief compliance officer	1 Oct 2010	Other	1499081
Dylan Germishuys	Chief operating officer	1 Nov 2013	Other	4344008
Kim Hyuk Michael	General counsel	1 Nov 2013	Other	6317070

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Ubs Group Ag	Parent company	1 Nov 2014	75% - 100%	foreign

Based in Stamford

The principal office where Ubs Alternative And Quantitative Investments LLC performs its advisory services is located at 677 Washington Boulevard, Stamford, CT 06901, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 203-719-1428 or by fax 203-719-1399. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at ubs.com/alternatives.