USI ADVISORS
USI ADVISORS, INC. Legal Name
Adviser information for USI ADVISORS 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 75 |
|---|---|
| Investment Advisory/Research | 42 |
| Registered Broker-Dealer Representatives | 30 |
| Registered State Investment Advisers | 71 |
| Licensed Agents of an Insurance Company | 35 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 104 | $1.2B |
| Non-Discretionary | 1,244 | $40.4B |
| Total | 1,348 | $41.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 18 | $466.9M |
| Investment companies | 3 | $38.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 928 | $31.2B |
| Charitable organizations | 75 | $1.6B |
| State or municipal gov entities | 102 | $2.9B |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $42.1M |
| Sovereign wealth funds and foreign official institutions | <5 | $27.6M |
| Corporations or other businesses | 217 | $5.3B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)SEMINARS AND CONSULTATIONS |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
Identifiers
| SEC RIA File Number | 801-56622 |
|---|---|
| SEC ERA File Number | 801-56622 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108113 |
| Legal Entity Identifier | None |
Principal Office
95 GLASTONBURY BLVD.SUITE 102
GLASTONBURY
CT
United States
Monday - Friday, 8:00AM TO 5:00PM
Tel: 860-633-5283, Fax: 610-537-2898
Chief Compliance Officer
MELINDA ROBIDOUX
95 GLASTONBURY BLVD.
GLASTONBURY
CT
United States
Tel:
8603682909
Fax:
610-537-2898
M***************@******M
(Full email address available in API data)
Regulatory Contact
MICHAEL WELZ
PRESIDENT
95 GLASTONBURY BLVD.
GLASTONBURY
CT
United States
Tel:
860-368-2908
Fax:
610-537-2898
M***********@******M
(Full email address available in API data)
Industry Affiliates
| USI CONSULTING GROUP | Insurance company or agencyPension consultant |
| USI SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NEWBORN, ERNEST, JOSHUA | Individual | – | DIRECTOR & SECRETARY | 04/1999 | < 5% |
| BRUNO, SARAH, J | Individual | – | DIRECTOR OF OPERATIONS | 09/2017 | < 5% |
| WELZ, MICHAEL, NMN | Individual | – | PRESIDENT | 06/2014 | < 5% |
| TREMKO, WILLIAM, MICHAEL | Individual | – | CEO | 06/2014 | < 5% |
| USIC INVESTMENT GROUP INC. | Domestic Entity | – | SHAREHOLDER | 05/2017 | > 75% |
| USIR MANAGEMENT LLC | Domestic Entity | USIC INVESTMENT GROUP INC. | CLASS A SHAREHOLDER | 05/2017 | |
| KAPPUS, DAVID, L | Individual | – | TREASURER | 04/2021 | < 5% |
| ROBIDOUX, MELINDA, MCDONALD | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |