UTA LLC
Adviser information for UTA LLC last updated from Form ADV on March 15th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| 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 | 156 | $130.6M |
| Non-Discretionary | 67 | $14.1M |
| Total | 223 | $144.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 86 | $31.8M |
| HNW Individuals | 36 | $110.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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 | <5 | $2.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-121768 |
|---|---|
| SEC ERA File Number | 801-121768 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315427 |
| Legal Entity Identifier | None |
Principal Office
2800 MAIN STREETVANCOUVER
WA
United States
Monday - Friday, 9:00AM TO 4:00PM
Tel: 360.360.0344, Fax: None
Websites
Chief Compliance Officer
JACKIE BIXBY
2800 MAIN STREET
VANCOUVER
WA
United States
Tel:
360.360.0344
J*****@************M
(Full email address available in API data)
Regulatory Contact
EMIL J. ALI
13337 SOUTH STREET
SUITE 555
CERRITOS
CA
United States
Tel:
3105961234
E***@************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BIXBY, JACKIE, LEE | Individual | – | CCO | 06/2021 | < 5% |
| WEERARATNE, ASOKA, GAMINEE | Individual | – | OWNER | 07/2021 | > 75% |