UOB GLOBAL CAPITAL LLC
Adviser information for UOB GLOBAL CAPITAL LLC last updated from Form ADV on March 19th, 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 | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 7 |
| Registered State Investment Advisers | 0 |
| 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 | 3 | $95.9M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $95.9M |
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 | $95.9M |
| 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 vehicles |
|---|---|
| Compensation | % of AUMCARRIED INTEREST DISTRIBUTIONS |
Identifiers
| SEC RIA File Number | 801-74164 |
|---|---|
| SEC ERA File Number | 801-74164 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 160659 |
| Legal Entity Identifier | None |
Principal Office
592 FIFTH AVENUENEW YORK
NY
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 212-398-6633, Fax: 212-398-4030
Websites
Chief Compliance Officer
HOWARD BERKENFELD
PRINCIPAL
592 FIFTH AVENUE
NEW YORK
NY
United States
Tel:
212-398-6633
Fax:
212-398-4030
H**********@************M
(Full email address available in API data)
Regulatory Contact
DAVID GOSS
MANAGING DIRECTOR
592 FIFTH AVENUE
NEW YORK
NY
United States
Tel:
212-398-6633
Fax:
212-398-4030
D****@************M
(Full email address available in API data)
Industry Affiliates
| UNITED HAMPSHIRE US REIT MANAGEMENT PTE. LTD. | Other investment adviser, including financial planners |
| UNITED OVERSEAS BANK LIMITED | Other investment adviser, including financial plannersBanking or thrift institution |
| UOB ASSET MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| UOB CAPITAL PARTNERS LLC (RELYING ADVISER) | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| UOB GLOBAL EQUITY SALES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| UOB KAY HIAN PTE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| UOB VENTURE MANAGEMENT PTE LIMITED | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ASEAN CHINA INVESTMENT FUND (US) III, L.P. | Private Equity Fund | $26.3M | $5.0M | 7 |
| ASEAN CHINA INVESTMENT FUND (US) IV, L.P. | Private Equity Fund | $30.2M | $5.0M | 9 |
| ASEAN CHINA INVESTMENT FUND (US) V L.P. | Private Equity Fund | $13.5M | $5.0M | 6 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| UOB HOLDINGS (USA), INC | Domestic Entity | – | MEMBER | 10/1998 | 50-75% |
| TEAMCO MANAGEMENT CO. LLC | Domestic Entity | – | MEMBER | 10/1998 | 25-50% |
| GOSS, DAVID, TUVIA | Individual | – | MANAGER/BOARD MEMBER | 10/1998 | < 5% |
| LANDAU, MICHAEL, BARZEL | Individual | – | MANAGER/BOARD MEMBER | 10/1998 | < 5% |
| BERKENFELD, HOWARD, CRAIG | Individual | – | CHIEF COMPLIANCE OFFICER | 10/1998 | < 5% |
| UNITED OVERSEAS BANK LIMITED | Foreign Entity | UOB HOLDINGS (USA) INC. | INDIRECT PARENT | 11/1998 | 50-75% |
| WEE, EE CHONG | Individual | – | BOARD MEMBER | 10/1998 | < 5% |
| LANDAU, MICHAEL, BARZEL | Individual | TEAMCO MANAGEMENT CO. LLC | MEMBER | 10/1998 | 25-50% |
| GOSS, DAVID, TUVIA | Individual | TEAMCO MANAGEMENT CO. LLC | MEMBER | 10/1998 | 25-50% |
| Wong, Wah Yan | Individual | – | BOARD MEMBER | 11/2016 | < 5% |
| DeGuzman, Erberto | Individual | – | BOARD MEMBER | 12/2015 | < 5% |