UBS OCONNOR LLC
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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%
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UBS OCONNOR LLC
also reported in
Mar 2019
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121
employees,
with
57
performing advisory functions.
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A total of 6 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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UBS OCONNOR LLC has one or more disclosure events currently on file with the SEC.
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UBS OCONNOR LLC has Notice Filings with the following State Securities Authorities: CT-Jun 2000, IL-May 2001, NY-Jun 2003, TN-Mar 2019
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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
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SEC. Feel free to contact
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