UNION SQUARE ADVISORS LLC
Adviser information for UNION SQUARE ADVISORS LLC last updated from Form ADV on March 18th, 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | No |
|---|
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 | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 802-119325 |
|---|---|
| SEC ERA File Number | 802-119325 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 141254 |
| Legal Entity Identifier | None |
Principal Office
1 EMBARCADERO CENTERSUITE 950
SAN FRANCISCO
CA
United States
Monday - Friday, 9AM - 5PM
Tel: 415-501-8000, Fax: None
Websites
Chief Compliance Officer
HARRIET BRITT
CHIEF COMPLIANCE OFFICER
1 EMBARCADERO CENTER
SUITE 950
SAN FRANCISCO
CA
United States
Tel:
415-501-8090
H************@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| UNION SQUARE SPECIAL PURPOSE VEHICLE I, LP | SPECIAL PURPOSE VEHICLE | $2.8M | $0.1M | 22 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SEACLIFF ADVISORS LLC | Domestic Entity | – | SOLE MEMBER OF THE APPLICANT | 06/2006 | > 75% |
| SMITH, EDWARD RIFE | Individual | – | PRESIDENT | 07/2007 | < 5% |
| MCCLELLAND, WILLIAM CARTER | Individual | – | CHAIRMAN & CEO | 05/2011 | < 5% |
| JETC LLC | Domestic Entity | SEACLIFF ADVISORS LLC | VOTING MEMBER | 07/2007 | > 75% |
| MCCLELLAND, WILLIAM CARTER | Individual | JETC LLC | MEMBER | 12/2008 | 25-50% |
| KAWARABAYASHI, WAYNE I | Individual | – | CHIEF OPERATIONS OFFICER | 12/2017 | < 5% |
| BRITT, HARRIET JAYNE | Individual | – | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER | 01/2018 | < 5% |
| POSTREL, HELENE BERSON | Individual | – | FINANCIAL OPERATIONS PRINCIPAL | 09/2018 | < 5% |