CREDIT SUISSE SECURITIES (USA) LLC
Adviser information for CREDIT SUISSE SECURITIES (USA) LLC last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 39 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 1 |
| 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 | 20 | $805.3M |
| Non-Discretionary | 0 | $0 |
| Total | 20 | $805.3M |
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 | 20 | $805.3M |
| 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 | 30 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based feesTRANSACTION-BASED FEE |
| Other Business Activities | Broker-dealerFutures commission merchant |
Identifiers
| SEC RIA File Number | 801-56264 |
|---|---|
| SEC ERA File Number | 801-56264 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 816 |
| Legal Entity Identifier | 1V8Y6QCX6YMJ2OELII46 |
Principal Office
11 MADISON AVENUENEW YORK
NY
United States
Monday - Friday, 9AM TO 5PM
Tel: (212) 325-2000, Fax: (212) 325-8222
Websites
Chief Compliance Officer
MAURA ANNE MILLER
CHIEF COMPLIANCE OFFICER OF THE BROKER DEALER AND INVESTMENT ADVISER
11 MADISON AVENUE
11TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 325 3468
M***********@****************M
(Full email address available in API data)
Industry Affiliates
| CREDIT SUISSE AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerBanking or thrift institutionSponsor or syndicator of limited partnershipsSponsor, 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 |
| UBS ASSET MANAGEMENT (AMERICAS) INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| UBS ASSET MANAGEMENT (US) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| 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 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 advisorSponsor, GP, manager of pooled investment vehicles |
| UBS OCONNOR LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| UBS REALTY INVESTORS LLC | Other investment adviser, including financial plannersPension consultantSponsor, GP, manager of pooled investment vehicles |
| UBS SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerCommodity pool operator or commodity trading advisorFutures commission merchant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| DEP AC, L.P. | Private Equity Fund | $3.1M | $0.3M | 8 |
| DEP AU, L.P. | Private Equity Fund | $63.6M | $0.3M | 4 |
| DEP BO, L.P. | Private Equity Fund | $41.8M | $0.3M | 6 |
| DEP CAA, L.P. | Private Equity Fund | $5.3M | $0.3M | 5 |
| DEP CAN, L.P. | Private Equity Fund | $2,773.0M | $0.2M | 5 |
| DEP CL, L.P. | Private Equity Fund | $17.2M | $0.3M | 3 |
| DEP DUR, L.P | Private Equity Fund | $29.6M | $0.3M | 3 |
| DEP EA, L.P. | Private Equity Fund | $46.3M | $0.1M | 5 |
| DEP EYE, L.P. | Private Equity Fund | $27.6M | $0.3M | 3 |
| DEP GEI, L.P. | Private Equity Fund | $28.9M | $0.3M | 7 |
| DEP IM, L.P. | Private Equity Fund | $82.3M | $0.3M | 7 |
| DEP MH, L.P. | Private Equity Fund | $101.5M | $0.3M | 5 |
| DEP MT, L.P. | Private Equity Fund | $39.9M | $0.3M | 5 |
| DEP OS, L.P | Private Equity Fund | $23.7M | $0.0M | 15 |
| DEP PET, L.P | Private Equity Fund | $25.5M | $0.3M | 3 |
| DEP PM, LLC | Private Equity Fund | $4.6M | $0.0M | 20 |
| DEP RJ, L.P. | Private Equity Fund | $63.9M | $0.5M | 6 |
| DEP RL, L.P. | Private Equity Fund | $95.2M | $0.3M | 6 |
| DEP UI, L.P. | Private Equity Fund | $49.5M | $0.3M | 4 |
| MIP PA (CAYMAN), L.P. | Private Equity Fund | $28.0M | $1.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CREDIT SUISSE AG | Foreign Entity | CREDIT SUISSE HOLDINGS (USA), INC. | SHAREHOLDER | 02/1998 | > 75% |
| CREDIT SUISSE (USA), INC. | Domestic Entity | – | SOLE MEMBER | 11/2000 | > 75% |
| CREDIT SUISSE HOLDINGS (USA), INC. | Domestic Entity | CREDIT SUISSE (USA), INC. | SHAREHOLDER | 10/2000 | > 75% |
| KRAUSS, DAVID I | Individual | – | CHIEF RISK OFFICER | 08/2020 | < 5% |
| MILLER, MAURA ANNE | Individual | – | CHIEF COMPLIANCE OFFICER FOR THE BROKER DEALER & THE INVESTMENT ADVISOR | 06/2022 | < 5% |
| EBERT, MICHAEL J | Individual | – | HEAD OF CREDIT SUISSE INVESTMENT BANK, BOARD MEMBER, TEXAS DESIGNATED OFFICER | 08/2022 | < 5% |
| CREDIT SUISSE GROUP FINANCE (U.S.) LLC | Domestic Entity | – | MINORITY INTEREST | 05/2023 | < 5% |
| UBS GROUP AG | Foreign Entity | CREDIT SUISSE AG | SHAREHOLDER | 06/2023 | > 75% |
| WIPF, THOMAS | Individual | – | CHIEF EXECUTIVE OFFICER, BOARD MEMBER | 07/2023 | < 5% |
| CHIODI, MARIA | Individual | – | GENERAL COUNSEL | 03/2023 | < 5% |
| HASSELL, GARY | Individual | – | HEAD OF OPERATIONS | 08/2023 | < 5% |
| POWERS, WAYNE | Individual | – | CHIEF FINANCIAL OFFICER | 12/2023 | < 5% |