RIA Intelligence

UBS ASPEN MANAGEMENT, L.L.C.

CRD #109338 SEC #801-56853 NEW YORK, NY 212-882-5819
SEC Registered
Total AUM
$34.3M
Discretionary
$34.3M
Employees
--
Clients
--
Accounts
1

Firm Details

Organization Type
Limited Liability Company
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Nov 11, 2005
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
BROUSSEAU, GREGORY, PAULIN/ANA Control
BROUSSEAU, GREGORY, PAULIMANAGING DIRECTOR OF PW ALTERNATIVE ASSET MANAGEMENT, INC.NA Control
BROUSSEAU, GREGORY, PAULIN/ANA Control
LINDGREN, DOUGLAS, ALANIAUTHORIZED AGENTNA
MARK ADVISORS LLCDEMEMBERNA
MASCIS, MICHAELIN/ANA
MASCIS, MICHAELIAUTHORIZED AGENTNA
MASCIS, MICHAELIN/ANA
MCWALTERS, RICHARD, WILLIAMIVICE PRESIDENT OF PW ALTERNATIVE ASSET MANAGEMENT, INC.NA
PLUCHINO, FRANK, SALICHIEF COMPLIANCE OFFICER AIGNA
ROUSSIN, STEPHEN, CRAIGIAUTHORIZED AGENTNA
SIENKO JR., NORMAN, EIAUTHORIZED AGENTNA
TANZMAN, MITCHELL, ALANIN/ANA Control
TANZMAN, MITCHELL, ALANIMANAGING DIRECTOR OF PW ALTERNATIVE ASSET MANAGEMENT, INC.NA Control
TANZMAN, MITCHELL, ALANIN/ANA Control
TREACY, KEVIN, JOSEPHIVICE PRESIDENT OF PW ALTERNATIVE ASSET MANAGEMENT, INC.NA
PW FUND ADVISOR, L.L.C.DEMANAGING MEMBERE Control
UBS FUND ADVISOR, L.L.C.DEMANAGING MEMBERE Control
UBS FUND ADVISOR, L.L.C.DEMANAGING MEMBERE Control
UBS FUND ADVISOR, L.L.C.DEMANAGING MEMBERE Control
MARK ADVISORS LLCDEMEMBERA
MARK ADVISORS LLCDEMEMBERA
MARK ADVISORS LLCDEMEMBERA

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
BROUSSEAU, GREGORY, PAULIPW ALTERNATIVE ASSET MANAGEMENT, INC.F Control
MASCIS, MICHAELIPW ALTERNATIVE ASSET MANAGEMENT, INC.F
TANZMAN, MITCHELL, ALANIPW ALTERNATIVE ASSET MANAGEMENT, INC.F Control
MARK, MORRISIMARK ADVISORS, LLCE Control
MARK, MORRISIMARK ADVISORS, LLCE Control
MARK, MORRISIMARK ADVISORS, LLCE Control
MARK, MORRISIMARK ADVISORS, LLCE Control
PAINEWEBBER CAPITAL INC.DEPW ALTERNATIVE ASSET MANAGEMENT, INC.E Control
PAINEWEBBER CAPITAL INC.DEPW ALTERNATIVE ASSET MANAGEMENT, INC.E Control
PW ALTERNATIVE ASSET MANAGEMENT, INC.DEUBS FUND ADVISOR, L.L.C.E Control
PW ALTERNATIVE ASSET MANAGEMENT, INC.DEPW FUND ADVISOR, L.L.C.E Control
UBS AGFEUBS AMERICAS INCE Control
UBS AGFEUBS AMERICAS INCE Control
UBS AGFEUBS AMERICAS INCE Control
UBS AGFEUBS AMERICAS INCE Control
UBS AMERICAS INC.DEPAINEWEBBER CAPITAL INC.E Control
UBS AMERICAS INC.DEUBS FUND ADVISOR LLCE Control
UBS AMERICAS INC.DEPAINEWEBBER CAPITAL INC.E Control
UBS AMERICAS INC.DEUBS FUND ADVISOR LLCE Control

Registrations

Federal

IA
Nov 11, 2005 REGISTERED

Address

C/O UBS FINANCIAL SERVICES INC
1285 AVENUE OF THE AMERICAS, 18TH FL.
NEW YORK, NY 10019
USA
Phone: 212-882-5819