Ubs Fund Advisor, L.L.C. (New York)

Ubs Fund Advisor, L.L.C. is a large advisory firm based in New York. It manages $6.44 billion of regulatory assets for 50 client accounts. It has been registered with the SEC as an adviser since 2003.

Ubs Fund Advisor, L.L.C provides portfolio management for pooled investment vehicles. 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 Fund Advisor, L.L.C: assets under management

The assets under management (AUM) of Ubs Fund Advisor, L.L.C. is $6.44 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 271% since the beginning of its operation, and $1 of the total AUM is attributable to clients outside of the United States.

The firm manages $6.44 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $128.85 million each.

Ubs Fund Advisor, L.L.C has custody of $5.78 billion in cash and securities for 45 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ubs Fund Advisor, L.L.C. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jerry Pascucci serves?

The only and largest group of clients of Jerry Pascucci is pooled investment vehicles with 50 clients and $6.44 billion of assets under management. Among the 12 most similar advisory firms, Ubs Fund Advisor, L.L.C has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $6.44 billion for 50 clients. 1% of the firm’s clients are foreign persons or businesses.

Ubs Fund Advisor, L.L.C also advises several private funds. Namely, eleven hedge funds, ten real estate funds, and twenty nine private equity funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $1,000,000.

Careers at Ubs Fund Advisor, L.L.C.

The company employs 53 people that are either part- or full-time employees. 38 percent of the employees work as investment advisers or researchers. 20 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Jerry Pascucci has been acting as President since 1 Oct 2010. Ubs Americas Holding Llc joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Pw Alternative Asset Management	Sole member	1 Oct 1997	75% - 100%	22-3548366
Mitchell Alan Tanzman	Managing director of pw alternative asset management, inc.	1 Jan 2001	Other	1987895
Gregory Paul Brousseau	Managing director of pw alternative asset management, inc.	1 Jan 2001	Other	1058913
Michael Mascis	Vp of pw alternative asset management	1 Jul 2002	Other	4637814
Ubs Americas Inc.	Owner	1 Nov 2003	75% - 100%	06-15958
Karen Margaret Braun	Chief compliance officer alternative investment group	1 Sep 2004	Other	4353509
Frank Sal Pluchino	Interim	1 Dec 2004	Other	1499081
Richard Earl Sipes	Authorized agent	1 Feb 2005	Other	804405
Stephen Craig Roussin	Authorized agent	1 Feb 2005	Other	1441872
Norman E Sienko Jr.	Authorized agent	1 Mar 2005	Other	1947677
Douglas Alan Lindgren	Authorized agent	1 Jun 2005	Other	1258979
Frank Sal Pluchino	Chief compliance officer alternative investment	1 Jul 2005	Other	1499081
Cesare Philip Tazza	Authorized agent	1 May 2006	Other	4650846
Robert Francis Aufenanger	Authorized person	1 May 2007	Other	3212167
Eric David Brotman	Authorized agent	1 Apr 2008	Other	1970027
Craig Keith Goos	Authorized agent	1 Sep 2008	Other	2653935
Michael Perry	Authorized agent	1 Jan 2010	Other	2688179
Lina Rubin	Vice president	1 Apr 2010	Other	5322684
Jerry Pascucci	President	1 Oct 2010	Other	2764701
Clifford Bryant Wattley	Vice president	1 Oct 2010	Other	711881
Stacie Lorraine Yates	Vice president	1 Oct 2010	Other	4887289
Nadia K Small	Vice president	1 Oct 2010	Other	1681431
Alexander Gurevich	Vice president and principal accounting officer	1 Oct 2010	Other	4826726
Brian David Opatosky	Vice president	1 Oct 2010	Other	3025888
Joseph Saporito	Vice president	1 Oct 2010	Other	2944851
George Gerard Smith	Vice president	1 Oct 2010	Other	1230121
Francine Ann Franklin	Chief compliance officer	1 Mar 2011	Other	2540377
Anna Gindes	Vice president	1 Sep 2011	Other	xxx-xx-xxxx
Gary Steven Muniz	Vice president	1 Sep 2012	Other	730371
Joseph Thomas Chiurazzi	Vice president	1 Sep 2012	Other	4525861
Louis Edward Kleist	Vice president	1 Sep 2012	Other	4998915
Ottavio Roseto	Vice president	1 Aug 2013	Other	6002821
Kenneth John Paglio	Treasurer	1 Aug 2013	Other	5201428
Lee Kent Thompson	Vice president	1 Aug 2013	Other	5304671
Jennifer Magro	Vice president & principal accounting officer	1 Nov 2013	Other	2513317
Daryl Robert Dewbrey	Vice president	1 Dec 2013	Other	2914519
Lauren F Rios	Vice president	1 Jun 2014	Other	5490769

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Painewebber Capital Inc.	Shareholder of pw alternative asset management, inc.	1 Oct 1997	75% - 100%	13-3261841
Ubs Americas Inc.	Owner	1 Oct 1997	75% - 100%	06-15958
Ubs Ag	Owner	1 Nov 2000	75% - 100%	98-01863
Ubs Group Ag	Shareholder	1 Oct 2014	75% - 100%	foreign
Ubs Americas Holding Llc	Shareholder	1 Aug 2015	75% - 100%	47-4954572

Based in New York

The principal office where Ubs Fund Advisor, L.L.C. performs its advisory services is located at 1285 Avenue Of The Americas, New York, NY 10019 The mailing address of the firm is 1000 Harbor Boulevard, Weehawken, NJ 07086. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-713-3234 or by fax 212-882-5347. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday.