Ubs Realty Investors LLC (Hartford)

Name: Ubs Realty Investors LLC
Address: 10 State House Square, Hartford, CT, 06103 3604
Telephone: 860-616-9000

Ubs Realty Investors LLC is a large advisory firm based in Hartford. It manages $3.6 billion of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Connecticut.

Ubs Realty Investors provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and asset management. 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 Realty Investors: assets under management

The assets under management (AUM) of Ubs Realty Investors LLC is $3.6 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 104% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.6 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.8 billion each.

Ubs Realty Investors has custody of $1.48 billion in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ubs Realty Investors 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.

What kind of clients James William Okeefe serves?

The only and largest group of clients of James William Okeefe is pooled investment vehicles with 2 clients and $3.6 billion of assets under management. Among the 6 most similar advisory firms, Ubs Realty Investors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $3.6 billion for 2 clients. None of the firm’s clients are foreign persons or businesses.

Ubs Realty Investors also advises several private funds. Namely, two other private funds. The minimum investment commitment required of non-related persons ranges from $500,000 to $1,000,000.

Careers at Ubs Realty Investors LLC

The company employs 207 people that are either part- or full-time employees. 16 percent of the employees work as investment advisers or researchers. No 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 doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

James William Okeefe has been acting as President since 1 Jul 2004. Timothy Walsh joined the executive team most recently as the Executive Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Thomas Joseph Anathan	Managing director	1 May 1996	Other	1437186
Robert Clarence Burrill	Managing director	1 May 1996	Other	2063461
Ari Acquisition Corporation	Managing member	1 Jun 1996	50% - 75%	04-3312844
William Requardt Harrison	Managing director	1 Jun 1996	Other	4354871
William R. Harrison	Managing director	1 Jun 1996	Other	4354871
James William Okeefe	President and ceo	1 Jun 1996	Other	1367302
Daniel Raymond Leary	Managing director	1 Jun 1996	Other	1280825
Dean Alden Lindquist	Managing director	1 Jun 1996	Other	1322552
Roy Brian Webb	Managing director	1 Jun 1996	Other	4355535
Matthew Hayward Lynch	General counsel; secretary	1 Jun 1996	Other	2797322
Katrina Roberta Desroches	Compliance officer	1 Feb 1997	Other	1137227
Siad Peter Swan	Managing director	1 Jun 1999	Other	2497773
Ubs Americas Inc.	Non managing member	1 Dec 1999	25% - 50%	06-1595848
Ubs (Usa) Inc.	Non managing member	1 Dec 1999	25% - 50%	13-3506524
Henry William Haunss	Managing director	1 Jan 2001	Other	4379881
Ronald Nmn Urdanick	Managing director	1 Mar 2001	Other	4917990
Ronald N.A. Urdanick	Managing director	1 Mar 2001	Other	4917990
Kevin Anthony Crean	Managing director	1 Mar 2003	Other	4481878
Michelle Anne Cullen	Compliance officer	1 Jun 2003	Other	1390286
Lijian Chen Ii	Executive director	1 Sep 2003	Other	4711953
Thomas James O'shea	General counsel	1 May 2004	Other	4803329
Matthew Hayward Lynch	President & ceo	1 Jul 2004	Other	2797322
James William Okeefe	Chairman	1 Jul 2004	Other	1367302
Richard Trusz	Managing director	1 Feb 2005	Other	4916803
Richard Gerard Trusz	Managing director	1 Feb 2005	Other	4916803
Jeffrey Gerard Maguire	Managing director	1 Feb 2006	Other	3110697
Thomas James O'shea	Managing director	1 Mar 2007	Other	4803329
Carol Marie Kuta	Managing director	1 Mar 2008	Other	5498059
William Terrance Hughes	Managing director	1 Mar 2008	Other	2671721
Gary Wallace Gowdy	Managing director	1 Mar 2008	Other	5482318
James Louis Lynch	Director of operations	1 Mar 2008	Other	2987575
Carol M Kuta	Managing director	1 Mar 2008	Other	5498059
William T Hughes	Managing director	1 Mar 2008	Other	2671721
Gary Gowdy	Managing director	1 Mar 2008	Other	5482318
Paul Michael Canning	Managing director	1 Mar 2011	Other	5897221
Paul Canning	Managing director	1 Mar 2011	Other	5897221
Thomas James O'shea	Chief compliance officer	1 Oct 2012	Other	4803329
Richard Allen Cumiskey	Chief compliance officer	1 Mar 2013	Other	1276853
Sara J Logan	Chief compliance officer	1 Nov 2013	Other	5121512
Steven Mark Kapiloff	General counsel/ secretary	1 Jun 2014	Other	6363927
Nicholas Simon Pile	Chief compliance officer	1 Sep 2014	Other	2727759
John Roderick Connelly	Managing director	1 Apr 2016	Other	2838553
James Michael Fishman	Executive director	1 Jun 2017	Other	6836153
Thomas Edward Enger	Managing director	1 Jun 2017	Other	6836268
Timothy Walsh	Executive director	1 Jul 2018	Other	6987915

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Zurich Switzerland Ubs Ag	Member	1 Apr 1995	75% - 100%	98-0186363
Ubs Ag	Parent company	1 Jun 1998	75% - 100%	foreign entity
Ubs Ag	Parent company	1 Dec 1999	75% - 100%	foreign entity
Zurich Switzerland Ubs Ag	Member	1 Dec 1999	75% - 100%	98-0186363
Ubs Group Ag	Holding company	1 Nov 2014	75% - 100%	foreign
Ubs Americas Holding Llc	Shareholder	1 Aug 2015	75% - 100%	none

Based in Hartford

The principal office where Ubs Realty Investors LLC performs its advisory services is located at 10 State House Square, Hartford, CT 06103 3604, which is also the mailing address of the firm. An additional office of the firm is in Dallas, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 860-616-9000 or by fax 860-616-9104. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at ubs.com/global/en/asset_management/gre/us.html.