UBS ASSET MANAGERS OF PUERTO RICO
UBS TRUST COMPANY OF PUERTO RICO Legal Name
Adviser information for UBS ASSET MANAGERS OF PUERTO RICO last updated from Form ADV on September 22nd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Puerto Rico, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 24 | $1.7B |
| Non-Discretionary | 0 | $0 |
| Total | 24 | $1.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 24 | $1.7B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-120846 |
|---|---|
| SEC ERA File Number | 801-120846 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 313696 |
| Legal Entity Identifier | 254900WP0P3ARLILZA18 |
Principal Office
250 MUNOZ RIVERA AVE.10TH FL
SAN JUAN
PR
United States
Monday - Friday, 9:00AM-5:30PM
Tel: 787-773-3888, Fax: None
Websites
Chief Compliance Officer
LUZ COLON
EXECUTIVE DIRECTOR
1000 HARBOR BOULEVARD
NJL2 / A8-GCRG
WEEHAWKEN
NJ
United States
Tel:
787-773-3876
L********@******M
(Full email address available in API data)
Regulatory Contact
OWEN MEACHAM
LEGAL COUNSEL
ONE NORTH WACKER DRIVE
CHICAGO
IL
United States
Tel:
312-525-4193
O***********@******M
(Full email address available in API data)
Industry Affiliates
| ALPHAKEYS FUND ADVISOR, L.L.C. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| UBS AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerBanking or thrift institutionSponsor, GP, manager of pooled investment vehicles |
| UBS AG NEW YORK BRANCH | Banking or thrift institution |
| UBS ASSET MANAGEMENT (AMERICAS) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| UBS ASSET MANAGEMENT (US) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| UBS ASSET MANAGEMENT FUNDS LTD | Other investment adviser, including financial planners |
| UBS BANK USA | Banking or thrift institution |
| UBS FARMLAND INVESTORS LLC | Other investment adviser, including financial planners |
| UBS FINANCIAL SERVICES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchantInsurance company or agencyPension consultant |
| UBS FINANCIAL SERVICES INSURANCE AGENCY INC. | Insurance company or agency |
| UBS FUND SERVICES (USA) LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| UBS HEDGE FUND SOLUTIONS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| UBS OCONNOR LLC | Other investment adviser, including financial planners |
| UBS REALTY INVESTORS LLC | Other investment adviser, including financial planners |
| UBS SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| VONTOBEL SWISS FINANCIAL ADVISERS | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PAINWEBBER INERNATIONAL INC. | Domestic Entity | – | OWNER | 03/1997 | > 75% |
| UBS AMERICAS INC. | Domestic Entity | PAINWEBBER INERNATIONAL INC. | OWNER | 03/2000 | > 75% |
| UBS AMERICAS HOLDING LLC | Domestic Entity | UBS AMERICAS INC. | SHAREHOLDER | 08/2015 | > 75% |
| UBS AG | Foreign Entity | UBS AMERICAS HOLDING LLC | SHAREHOLDER | 11/2001 | > 75% |
| UBS GROUP AG | Foreign Entity | UBS AG | SHAREHOLDER | 11/2014 | > 75% |
| UBINAS TAYLOR, CARLOS, VERNER | Individual | – | PRESIDENT, MANAGING DIRECTOR, CHAIRMAN OF THE BOARD | 08/2014 | < 5% |
| RODRIGUEZ, JAVIER, ANIBAL | Individual | – | PORTFOLIO MANAGER, DIRECTOR | 04/2002 | < 5% |
| COLON, LUZ, NEREIDA | Individual | – | CHIEF COMPLIANCE OFFICER, EXECUTIVE DIRECTOR | 12/2013 | < 5% |
| HIGHLEY, LESLIE, CHARLES | Individual | – | MANAGING DIRECTOR UBS ASSET MANAGERS OF PR, MEMBER OF THE BOARD | 01/2001 | < 5% |
| GONZALEZ, JAVIER | Individual | – | MEMBER OF THE BOARD OF DIRECTORS | 11/2014 | < 5% |
| RIVERA, WILLIAM | Individual | – | PORTFOLIO MANAGER, EXECUTIVE DIRECTOR | 01/2001 | < 5% |
| ROMANACH, GUSTAVO, ADOLFO | Individual | – | ASSOCIATE PORTFOLIO MANAGER, DIRECTOR | 03/2000 | < 5% |
| ARIAS RODRIGUEZ, JOSE, GUILLERMO | Individual | – | MANAGING DIRECTOR UBS ASSET MANAGERS OF PUERTO RICO | 07/2020 | < 5% |
| CASELLAS, MICHELLE, MARIA | Individual | – | MEMBER OF THE BOARD OF DIRECTORS, EXECUTIVE DIRECTOR | 11/2014 | < 5% |
| GRAU BRULL, JOSE, HUMBERTO | Individual | – | MEMBER OF THE BOARD OF DIRECTOR, CHIEF FINANCIAL OFFICER, EXECUTIVE DIRECTOR | 01/2014 | < 5% |
| BALLESTER, CLAUDIO, DOMINGO | Individual | – | MEMBER OF THE BOARD OF DIRECTORS, EXECUTIVE DIRECTOR | 02/2000 | < 5% |
| CUADRADO, HEYDI, YACIELI | Individual | – | ASSOCIATE PORTFOLIO MANAGER, DIRECTOR | 11/2003 | < 5% |
| RAMOS PEREZ, EDWARD | Individual | – | FUND MANAGEMENT OPERATIONS, ASSOCIATE DIRECTOR | 03/2012 | < 5% |
| VILARO, MARIA, LUISA | Individual | – | FUND MANAGEMENT OPERATIONS, ASSOCIATE DIRECTOR | 03/2005 | < 5% |