ULLICO INVESTMENT ADVISORS, INC.
Adviser information for ULLICO INVESTMENT ADVISORS, INC. last updated from Form ADV on March 29th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 83 |
|---|---|
| Investment Advisory/Research | 45 |
| Registered Broker-Dealer Representatives | 18 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 7 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 18 | $11.3B |
| Non-Discretionary | 0 | $0 |
| Total | 18 | $11.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $105.4M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 10 | $10.9B |
| Pension and profit sharing plans | <5 | $146.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $169.3M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $28.6M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 6 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-36371 |
|---|---|
| SEC ERA File Number | 801-36371 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106628 |
| Legal Entity Identifier | 549300RH0WLLIXUIBR40 |
Principal Office
8403 COLESVILLE ROAD13TH FLOOR
SILVER SPRING
MD
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 202-962-8951, Fax: 202-682-6784
Chief Compliance Officer
LAROCQUE, RICHARD FRANCIS
CHIEF COMPLIANCE OFFICER
8403 COLESVILLE ROAD
14TH FLOOR
SILVER SPRING
MD
United States
Tel:
202-962-8951
Fax:
202-682-6784
R***********@*********M
(Full email address available in API data)
Regulatory Contact
SVETLANA KOZIAKOVA
COMPLIANCE MANAGER
8403 COLESVILLE ROAD
14TH FLOOR
SILVER SPRING
MD
United States
Tel:
301-956-4935
Fax:
202-682-6784
S*********@*********M
(Full email address available in API data)
Industry Affiliates
| THE UNION LABOR LIFE INSURANCE COMPANY | Insurance company or agency |
| ULLICO INVESTMENT COMPANY, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| THE UNION LABOR LIFE INSURANCE COMPANY SEPARATE ACCOUNT C | POOLED INVESTMENT FUND | $39.9M | $0.0M | 9 |
| THE UNION LABOR LIFE INSURANCE COMPANY SEPARATE ACCOUNT R | POOLED INVESTMENT FUND | $199.1M | $0.0M | 13 |
| THE UNION LABOR LIFE INSURANCE COMPANY SEPARATE ACCOUNT T | POOLED INVESTMENT FUND | $0.6M | $0.0M | 2 |
| THE UNION LABOR LIFE INSURANCE COMPANY SEPARATE ACCOUNT W1 | POOLED INVESTMENT FUND | $399.8M | $0.0M | 59 |
| ULLICO DIVERSIFIED INTERNATIONAL EQUITY FUND, L.P | POOLED INVESTMENT FUND | $679.7M | $1.0M | 16 |
| ULLICO INFRASTRUCTURE TAX-EXEMPT FUND, L.P. | Private Equity Fund | $4,919.5M | $5.0M | 270 |
| ULLICO INFRASTRUCTURE TAXABLE FUND, L.P. | Private Equity Fund | $702.6M | $5.0M | 23 |
| ULLICO INTERNATIONAL SMALL CAP FUND, L.P. | POOLED INVESTMENT FUND | $90.6M | $1.0M | 2 |
| ULLICO VALUE-ADD REAL ESTATE FUND I, L.P. | Real Estate Fund | $0.0M | $1.0M | 0 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ULLICO INC. | Domestic Entity | – | BENEFICIAL OWNER | 01/1990 | > 75% |
| HUMPHREY, CATHY, ANN | Individual | – | DIRECTOR, CHIEF OPERATING OFFICER | 01/2012 | < 5% |
| LINEHAN, JOSEPH, RICHARD | Individual | – | PRESIDENT, DIRECTOR | 08/2011 | < 5% |
| KOLBEN, HERBERT | Individual | – | DIRECTOR, SR. VICE PRESIDENT | 02/2011 | < 5% |
| LAROCQUE, RICHARD, FRANCIS | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2011 | < 5% |
| SCOTT, KENNETH, DUNLOP | Individual | – | DIRECTOR | 08/2017 | < 5% |
| Darcey, Hugh, James | Individual | – | SR. VICE PRESIDENT, REAL ESTATE EQUITY FUND | 06/2023 | < 5% |
| Yu, Yinan | Individual | – | CHIEF FINANCIAL OFFICER, SECRETARY, TREASURER, DIRECTOR | 02/2024 | < 5% |
| HUMPHREY, CATHY, ANN | Individual | – | SR. VICE PRESIDENT | 01/2024 | < 5% |
| HALEY, PETER, T | Individual | – | SR. VICE PRESIDENT | 01/2024 | < 5% |