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Ubs Aspen Management, L.L.C. (New York)


Ubs Aspen Management, L.L.C. is an adviser based in New York. It manages $2.3 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2003.

Ubs Aspen Management, L.L.C provides portfolio management for investment companies. 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 Aspen Management, L.L.C: assets under management

The assets under management (AUM) of Ubs Aspen Management, L.L.C. is $2.3 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -93% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $2.3 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.3 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ubs Aspen Management, 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.

Indirect Owners

The SEC currently registers 6 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Pw Alternative Asset Management Sole member of ubs fund advisor, l.l.c. 1 Oct 1997 75% - 100% 13-3513206
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
Morris Mark Sole member of mark advisors, llc 1 Sep 1998 75% - 100% 319991
Ubs Ag Owner 1 Nov 2000 75% - 100% 98-01863
Ubs Americas Inc. Owner 1 Nov 2003 75% - 100% 06-15958

Based in New York

The principal office where Ubs Aspen Management, L.L.C. performs its advisory services is located at C/O Ubs Financial Services Inc, New York, NY 10019, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 212-882-5819 or by fax 212-882-6004. The normal business hours are 9 a.m. to 5 p.m. on Monday - Friday.


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