Ubs Fund Advisor, L.L.C. (New York)


Ubs Fund Advisor, L.L.C. is a large advisory firm based in New York. It manages $6.44 billion of regulatory assets for 50 client accounts. It has been registered with the SEC as an adviser since 2003.

Ubs Fund Advisor, L.L.C provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ubs Fund Advisor, L.L.C: assets under management

The assets under management (AUM) of Ubs Fund Advisor, L.L.C. is $6.44 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 271% since the beginning of its operation, and $1 of the total AUM is attributable to clients outside of the United States.


The firm manages $6.44 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $128.85 million each.
Ubs Fund Advisor, L.L.C has custody of $5.78 billion in cash and securities for 45 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ubs Fund Advisor, L.L.C. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jerry Pascucci serves?

The only and largest group of clients of Jerry Pascucci is pooled investment vehicles with 50 clients and $6.44 billion of assets under management. Among the 12 most similar advisory firms, Ubs Fund Advisor, L.L.C has the highest percentage of pooled investment vehicles out of all clients.


The amount of regulatory assets under management is $6.44 billion for 50 clients. 1% of the firm’s clients are foreign persons or businesses.

Ubs Fund Advisor, L.L.C also advises several private funds. Namely, eleven hedge funds, ten real estate funds, and twenty nine private equity funds. The minimum investment commitment required of non-related persons ranges from $250,000 to $1,000,000.

Careers at Ubs Fund Advisor, L.L.C.

The company employs 53 people that are either part- or full-time employees. 38 percent of the employees work as investment advisers or researchers. 20 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Jerry Pascucci has been acting as President since 1 Oct 2010. Ubs Americas Holding Llc joined the executive team most recently as the Shareholder.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
Inc. Pw Alternative Asset Management Sole member 1 Oct 1997 75% - 100% 22-3548366
Mitchell Alan Tanzman Managing director of pw alternative asset management, inc. 1 Jan 2001 Other 1987895
Gregory Paul Brousseau Managing director of pw alternative asset management, inc. 1 Jan 2001 Other 1058913
Michael Mascis Vp of pw alternative asset management 1 Jul 2002 Other 4637814
Ubs Americas Inc. Owner 1 Nov 2003 75% - 100% 06-15958
Karen Margaret Braun Chief compliance officer alternative investment group 1 Sep 2004 Other 4353509
Frank Sal Pluchino Interim 1 Dec 2004 Other 1499081
Richard Earl Sipes Authorized agent 1 Feb 2005 Other 804405
Stephen Craig Roussin Authorized agent 1 Feb 2005 Other 1441872
Norman E Sienko Jr. Authorized agent 1 Mar 2005 Other 1947677
Douglas Alan Lindgren Authorized agent 1 Jun 2005 Other 1258979
Frank Sal Pluchino Chief compliance officer alternative investment 1 Jul 2005 Other 1499081
Cesare Philip Tazza Authorized agent 1 May 2006 Other 4650846
Robert Francis Aufenanger Authorized person 1 May 2007 Other 3212167
Eric David Brotman Authorized agent 1 Apr 2008 Other 1970027
Craig Keith Goos Authorized agent 1 Sep 2008 Other 2653935
Michael Perry Authorized agent 1 Jan 2010 Other 2688179
Lina Rubin Vice president 1 Apr 2010 Other 5322684
Jerry Pascucci President 1 Oct 2010 Other 2764701
Clifford Bryant Wattley Vice president 1 Oct 2010 Other 711881
Stacie Lorraine Yates Vice president 1 Oct 2010 Other 4887289
Nadia K Small Vice president 1 Oct 2010 Other 1681431
Alexander Gurevich Vice president and principal accounting officer 1 Oct 2010 Other 4826726
Brian David Opatosky Vice president 1 Oct 2010 Other 3025888
Joseph Saporito Vice president 1 Oct 2010 Other 2944851
George Gerard Smith Vice president 1 Oct 2010 Other 1230121
Francine Ann Franklin Chief compliance officer 1 Mar 2011 Other 2540377
Anna Gindes Vice president 1 Sep 2011 Other xxx-xx-xxxx
Gary Steven Muniz Vice president 1 Sep 2012 Other 730371
Joseph Thomas Chiurazzi Vice president 1 Sep 2012 Other 4525861
Louis Edward Kleist Vice president 1 Sep 2012 Other 4998915
Ottavio Roseto Vice president 1 Aug 2013 Other 6002821
Kenneth John Paglio Treasurer 1 Aug 2013 Other 5201428
Lee Kent Thompson Vice president 1 Aug 2013 Other 5304671
Jennifer Magro Vice president & principal accounting officer 1 Nov 2013 Other 2513317
Daryl Robert Dewbrey Vice president 1 Dec 2013 Other 2914519
Lauren F Rios Vice president 1 Jun 2014 Other 5490769

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Painewebber Capital Inc. Shareholder of pw alternative asset management, inc. 1 Oct 1997 75% - 100% 13-3261841
Ubs Americas Inc. Owner 1 Oct 1997 75% - 100% 06-15958
Ubs Ag Owner 1 Nov 2000 75% - 100% 98-01863
Ubs Group Ag Shareholder 1 Oct 2014 75% - 100% foreign
Ubs Americas Holding Llc Shareholder 1 Aug 2015 75% - 100% 47-4954572

Based in New York

The principal office where Ubs Fund Advisor, L.L.C. performs its advisory services is located at 1285 Avenue Of The Americas, New York, NY 10019 The mailing address of the firm is 1000 Harbor Boulevard, Weehawken, NJ 07086. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-713-3234 or by fax 212-882-5347. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday.