FindingFraud.org


Blog
Contact

UBS OCONNOR LLC
UBS OCONNOR LLC (CRD# 108754) is an SEC-Registered Investment Advisor (RIA), headquartered in Chicago, IL. The SEC approved the firm to operate as an RIA in May 2000. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $8.3 Billion, with discretion over 99% of those assets.   Pooled investment vehicles (Private Funds) account for 99% of RAUM.   Non-US investors represent 42% .  
 
UBS OCONNOR LLC also reported in Mar 2019
  • 121 employees, with 57 performing advisory functions.
  • A total of 6 office locations.
  • No registrations with foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
UBS OCONNOR LLC has one or more disclosure events currently on file with the SEC.
 

View UBS OCONNOR LLC's most recent Form ADV filing
 irban42



UBS OCONNOR LLC has Notice Filings with the following State Securities Authorities: CT-Jun 2000, IL-May 2001, NY-Jun 2003, TN-Mar 2019


Disclaimer: 
The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


irban43
g2red1
g2red2 g2red3
g2red4
g2red5 g2red6
g2red7
g2red8 g2red9

irban43


1 2
3
4
5 6
7
8
9 10
11
12