UBS REALTY INVESTORS LLC
Adviser information for UBS REALTY INVESTORS LLC 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Massachusetts, United States |
Employees
| Total Number of Employees | 153 |
|---|---|
| Investment Advisory/Research | 27 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $2.7B |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $2.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $2.7B |
| 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 | 3 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsREAL ESTATE ASSET MANAGEMENT |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesREAL ESTATE ACQUISITION/DISPOSITION FEES |
Principal Office
10 STATE HOUSE SQUARE12TH FLOOR
HARTFORD
CT
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 860-616-9000, Fax: None
Websites
Chief Compliance Officer
NICHOLAS PILE
EXECUTIVE DIRECTOR
10 STATE HOUSE SQUARE
12TH FLOOR
HARTFORD
CT
United States
Tel:
(860) 616-9046
N************@******M
(Full email address available in API data)
Regulatory Contact
STEVEN KAPILOFF
GENERAL COUNSEL
10 STATE HOUSE SQUARE
12TH FLOOR
HARTFORD
CT
United States
Tel:
860 616-9012
S**************@******M
(Full email address available in API data)
Industry Affiliates
| CREDIT SUISSE ASSET MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CREDIT SUISSE ASSET MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CREDIT SUISSE SECURITIES (USA) LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchantSponsor, GP, manager of pooled investment vehicles |
| UBS ASSET MANAGEMENT (CANADA) CO | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| UBS ASSET MANAGEMENT (JAPAN) LTD. | Other investment adviser, including financial planners |
| UBS (LUXEMBOURG) S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institutionSponsor, 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 ASSET MANAGEMENT ( DEUTSCHLAND) GMBH | Other investment adviser, including financial planners |
| UBS ASSET MANAGEMENT (AMERICAS) INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| UBS ASSET MANAGEMENT (AUSTRALIA) LTD | Other investment adviser, including financial planners |
| UBS ASSET MANAGEMENT (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| UBS ASSET MANAGEMENT (ITALIA) SGR S.P.A. | Other investment adviser, including financial planners |
| UBS ASSET MANAGEMENT (SINGAPORE) LTD. | Other investment adviser, including financial planners |
| UBS ASSET MANAGEMENT (UK) LTD | Other investment adviser, including financial planners |
| UBS ASSET MANAGEMENT (US) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| UBS ASSET MANAGEMENT SWITZERLAND AG | Other investment adviser, including financial planners |
| UBS ASSET MANAGEMENT TRUST COMPANY | Trust company |
| 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 merchant |
| UBS FUND MANAGEMENT (IRELAND) LTD | Other investment adviser, including financial planners |
| UBS FUND MANAGEMENT (LUXEMBOURG) S.A. | Other investment adviser, including financial planners |
| UBS FUND MANAGEMENT (SWITZERLAND) AG | Sponsor, GP, manager of pooled investment vehicles |
| UBS FUND SERVICES (LUXEMBOURG) S.A. | Sponsor, GP, manager of pooled investment vehicles |
| UBS FUND SERVICES (USA) LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| UBS GROUP AG | Banking or thrift institution |
| UBS REAL ESTATE GMBH | Other investment adviser, including financial planners |
| UBS SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| TRUMBULL (US) CORE MULTI-FUND LP | INVESTS IN FUNDS THAT INVEST IN PARTICIPATING MORTGAGES AND REAL ESTATE AND OFFERS REDEMPTION RIGHTS IN THE ORDINARY COURSE | $15.5M | $0.5M | 11 |
| TRUMBULL PROPERTY INCOME FUND LP | FUND THAT INVESTS IN PARTICIPATING MORTGAGES AND REAL ESTATE AND OFFERS REDEMPTION RIGHTS IN THE ORDINARY COURSE | $2,623.7M | $1.0M | 122 |
| UBS COLD STORAGE FAMILY OFFICE FUND I LP | FUND THAT INVESTS IN COLD STORAGE FACILITIES | $45.1M | $0.0M | 6 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UBS AMERICAS INC. | Domestic Entity | – | NON MANAGING MEMBER | 12/1999 | > 75% |
| UBS AG, ZURICH, SWITZERLAND | Foreign Entity | UBS AMERICAS HOLDING LLC | MEMBER | 12/1999 | > 75% |
| MAGUIRE, JEFFREY, GERARD | Individual | – | MANAGING DIRECTOR | 02/2006 | < 5% |
| CANNING, PAUL, MICHAEL | Individual | – | MANAGING DIRECTOR | 03/2011 | < 5% |
| O'SHEA, THOMAS, JAMES | Individual | – | MANAGING DIRECTOR | 03/2007 | < 5% |
| KAPILOFF, STEVEN, MARK | Individual | – | GENERAL COUNSEL/ SECRETARY | 06/2014 | < 5% |
| PILE, NICHOLAS, SIMON | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2014 | < 5% |
| UBS GROUP AG | Foreign Entity | UBS AG, ZURICH, SWITZERLAND | SHAREHOLDER | 11/2014 | > 75% |
| UBS AMERICAS HOLDING LLC | Domestic Entity | UBS AMERICAS INC. | SHAREHOLDER | 08/2015 | > 75% |
| CHU, RODNEY | Individual | – | MANAGING DIRECTOR | 04/2019 | < 5% |
| JOHNSON, MATTHEW, G | Individual | – | PRESIDENT & CEO | 02/2020 | < 5% |
| GHERLONE, TIFFANY, ANNE | Individual | – | MANAGING DIRECTOR | 03/2020 | < 5% |
| SCHUSTER, CATHERINE, ANN | Individual | – | EXECUTIVE DIRECTOR | 10/2020 | < 5% |
| clayton, christopher | Individual | – | EXECUTIVE DIRECTOR | 05/2020 | < 5% |
| MATURO, MARIO | Individual | – | EXUCUTIVE DIRECTOR | 06/2020 | < 5% |
| White, Amy | Individual | – | MANAGING DIRECTOR | 07/2022 | < 5% |
| Juliani, Peter | Individual | – | EXECUTIVE DIRECTOR | 07/2023 | < 5% |