Ust Advisers, Inc. (Stamford)

Name: Ust Advisers, Inc.
Address: 225 High Ridge Road, Stamford, CT, 06905
Telephone: 203-352-4400

Ust Advisers, Inc. is a large advisory firm based in Stamford. It manages $17.97 billion of regulatory assets for 29 client accounts. It has been registered with the SEC as an adviser since 2006 and has operated in the jurisdiction of Connecticut.

Ust Advisers provides portfolio management for investment companies and 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.

Ust Advisers: assets under management

The assets under management (AUM) of Ust Advisers, Inc. is $17.97 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 43% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $17.97 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $619.67 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ust Advisers, Inc. 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.

Careers at Ust Advisers, Inc.

Timothy John Leach has been acting as President since 1 Nov 2005. N.A. Bank Of America joined the executive team most recently as the 100% Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
National Association U.S. Trust Company	100% owner	1 Nov 2005	75% - 100%	95-4311476
Timothy John Leach	Director	1 Nov 2005	Other	2494692
Jeffrey Thomas Osmun	Director	1 Nov 2005	Other	2906258
Olga Jonas Sanchez	Secretary and general counsel	1 Nov 2005	Other	4006514
Stefanie Aimee Firtell	Chief compliance officer	1 Nov 2005	Other	5064918
Robert Francis Aufenanger	President and director	1 Dec 2005	Other	3212167
Neil Mcdonnell	Chief financial officer and treasurer	1 Dec 2005	Other	5075286
National Association United States Trust Company	100% owner	1 Mar 2006	75% - 100%	13-3818954
Nicola Knight	Secretary and chief legal officer	1 Mar 2006	Other	4898040
Evelyn Sanciangco Dilsaver	President, mutual fund division	1 Mar 2006	Other	2227127
George Manuel Pereira	Cfo, mutual fund division	1 Mar 2006	Other	4047873
Mary Martinez	Director	1 Apr 2006	Other	5138216
Nicola Knight	Chief legal officer	1 Jun 2006	Other	4898040
Ralph A Pastore	Treasurer and chief financial officer	1 Jun 2006	Other	2184757
Mary Martinez	Senior vice president and director	1 Jul 2006	Other	5138216
Hiam Arfa	Chief compliance officer	1 Oct 2006	Other	2409975
Joan Ellen Hoffman	Chief compliance officer	1 Jan 2007	Other	1565558
Steven Suss	President and director	1 Apr 2007	Other	1772692
Steven Suss	Senior vice president and director	1 Jul 2007	Other	1772692
Keith Thomas Banks	President	1 Jul 2007	Other	2460880
Christopher Lawrence Wilson	Senior vice president and director	1 Jul 2007	Other	1112974
Linda Jean Wondrack	Chief compliance officer	1 Jul 2007	Other	1589187
James Richard Bordewick	Chief legal officer	1 Jul 2007	Other	5509145
Michael Anthony Jones	President	1 Nov 2007	Other	4357853
N.A. Bank Of America	100% owner	1 Feb 2008	75% - 100%	94-1687665

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
U.S. Trust Corporation	Parent company of u.s. trust company, national association	1 Mar 1991	75% - 100%	13-3818952
Bank Of America Corporation	Shareholder	1 Sep 1998	75% - 100%	56-0906609
Nb Holdings Corporation	Shareholder	1 Jul 1999	75% - 100%	56-1857749
The Charles Schwab Corporation	Parent company of u.s. trust corporation	1 May 2000	75% - 100%	94-3025021
U.S. Trust Corporation	Parent company of united states trust company, national association	1 Mar 2006	75% - 100%	13-3818952
Nb Holdings Corporation	Shareholder	1 Jul 2007	75% - 100%	56-1857749

Based in Stamford

The principal office where Ust Advisers, Inc. performs its advisory services is located at 225 High Ridge Road, Stamford, CT 06905, which is also the mailing address of the firm. An additional office of the firm is in Wayne, PA. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 203-352-4400 or by fax 203-352-4488. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at www.ustrust.com.