UBS WILLOW MANAGEMENT, L.L.C.
CRD #109347 SEC #801-57401 NEW YORK, NY 212-821-6053
SEC Registered
Total AUM
$136.9M
Discretionary
$136.9M
Employees
51
Clients
0
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| AUFENANGER, ROBERT, FRANCIS | I | AUTHORIZED PERSON | NA | |
| BROTMAN, ERIC, DAVID | I | AUTHORIZED AGENT | NA | |
| BROTMAN, ERIC, DAVID | I | AUTHORIZED AGENT | NA | |
| BROTMAN, ERIC, DAVID | I | AUTHORIZED AGENT | NA | |
| BROUSSEAU, GREGORY, PAUL | I | MANAGING DIRECTOR OF PW ALTERNATIVE ASSET MANAGEMENT, INC. | NA | Control |
| BROUSSEAU, GREGORY, PAUL | I | MANAGING DIRECTOR OF PW ALTERNATIVE ASSET MANAGEMENT, INC. | NA | Control |
| BROUSSEAU, GREGORY, PAUL | I | EXECUTIVE OFFICER | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | GLOBAL HEAD OF ALTERNATIVE & QUANTITATIVE | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | GLOBAL HEAD OF ALTERNATIVE & QUANTITATIVE | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | GLOBAL HEAD OF ALTERNATIVE & QUANTITATIVE | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | GLOBAL HEAD OF ALTERNATIVE & QUANTITATIVE | NA | Control |
| FERRI, WILLIAM, JOSEPH | I | GLOBAL HEAD OF ALTERNATIVE & QUANTITATIVE | NA | Control |
| GOOS, CRAIG, KEITH | I | AUTHORIZED AGENT | NA | |
| GOOS, CRAIG, KEITH | I | AUTHORIZED AGENT | NA | |
| GOOS, CRAIG, KEITH | I | AUTHORIZED AGENT | NA | |
| HNILO, JAMES, MICHAEL | I | GENERAL COUNSEL | NA | Control |
| HNILO, JAMES, MICHAEL | I | GENERAL COUNSEL | NA | Control |
| HNILO, JAMES, MICHAEL | I | GENERAL COUNSEL | NA | Control |
| HNILO, JAMES, MICHAEL | I | GENERAL COUNSEL | NA | Control |
| HNILO, JAMES, MICHAEL | I | GENERAL COUNSEL | NA | Control |
| LINDGREN, DOUGLAS, ALAN | I | AUTHORIZED AGENT | NA | |
| LINDGREN, DOUGLAS, ALAN | I | AUTHORIZED AGENT | NA | |
| LINDGREN, DOUGLAS, ALAN | I | AUTHORIZED AGENT | NA | |
| MASCIS, MICHAEL | I | VICE PRESIDENT OF PW ALTERNATIVE ASSET MANAGEMENT, INC. | NA | |
| MASCIS, MICHAEL | I | AUTHORIZED AGENT | NA | |
| MASCIS, MICHAEL | I | OFFICER | NA | |
| MCWALTERS, RICHARD, WILLIAM | I | VICE PRESIDENT OF PW ALTERNATIVE ASSET MANAGEMENT, INC. | NA | |
| PERRY, MICHAEL | I | AUTHORIZED AGENT | NA | |
| PERRY, MICHAEL | I | AUTHORIZED AGENT | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER ALTERNATIVE INVESTMENT | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| PLUCHINO, FRANK, SAL | I | CHIEF COMPLIANCE OFFICER | NA | |
| ROUSSIN, STEPHEN, CRAIG | I | AUTHORIZED AGENT | NA | |
| ROUSSIN, STEPHEN, CRAIG | I | AUTHORIZED AGENT | NA | |
| ROUSSIN, STEPHEN, CRAIG | I | AUTHORIZED AGENT | NA | |
| ROUSSIN, STEPHEN, CRAIG | I | AUTHORIZED AGENT | NA | |
| RUBIN, LINA | I | AUTHORIZED AGENT | NA | |
| RUBIN, LINA | I | AUTHORIZED AGENT | NA | |
| SIENKO JR., NORMAN, E | I | AUTHORIZED AGENT | NA | |
| TANZMAN, MITCHELL, ALAN | I | MANAGING DIRECTOR OF PW ALTERNATIVE ASSET MANAGEMENT, INC. | NA | Control |
| TANZMAN, MITCHELL, ALAN | I | MANAGING DIRECTOR OF PW ALTERNATIVE ASSET MANAGEMENT, INC. | NA | Control |
| TANZMAN, MITCHELL, ALAN | I | EXECUTIVE OFFICER | NA | Control |
| TAZZA, CESARE, PHILIP | I | AUTHORIZED AGENT | NA | |
| TREACY, KEVIN, JOSEPH | I | VICE PRESIDENT OF PW ALTERNATIVE ASSET MANAGEMENT, INC. | NA | |
| VAGRA, NICHOLAS, JAMES | I | CHIEF OPERATING OFFICER | NA | Control |
| VAGRA, NICHOLAS, JAMES | I | CHIEF OPERATING OFFICER | NA | Control |
| VAGRA, NICHOLAS, JAMES | I | CHIEF OPERATING OFFICER | NA | Control |
| VAGRA, NICHOLAS, JAMES | I | CHIEF OPERATING OFFICER | NA | Control |
| VAGRA, NICHOLAS, JAMES | I | CHIEF OPERATING OFFICER | NA | Control |
| PW FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | DE | MANAGING MEMBER | E | Control |
| UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | DE | MANAGING MEMBER | E | Control |
| UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | DE | MANAGING MEMBER | E | Control |
| UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | DE | MANAGING MEMBER | E | Control |
| UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| UBS FUND ADVISOR, L.L.C. | DE | MANAGING MEMBER | E | Control |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A | |
| BOND STREET CAPITAL LLC | DE | MEMBER | A |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| KIM, SAM, S | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, S | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, S | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| KIM, SAM, SANGKYUN | I | BOND STREET CAPITAL, L.L.C. | E | Control |
| PAINEWEBBER CAPITAL INC. | DE | PW ALTERNATIVE ASSET MANAGEMENT, INC. | E | Control |
| PAINEWEBBER CAPITAL INC. | DE | PW ALTERNATIVE ASSET MANAGEMENT, INC. | E | Control |
| PW ALTERNATIVE ASSET MANAGEMENT, INC. | DE | SOLE MEMBER OF UBS FUND ADVISOR, L.L.C. | E | Control |
| PW ALTERNATIVE ASSET MANAGEMENT, INC. | DE | SOLE MEMBER OF PW FUND ADVISOR, L.L.C. | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | E | Control |
| UBS AG | FE | UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | E | Control |
| UBS AG | FE | UBS AMERICAS INC | E | Control |
| UBS AG | FE | UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | E | Control |
| UBS AG | FE | UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
| UBS AMERICAS INC. | DE | PAINEWEBBER CAPITAL INC. | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
| UBS AMERICAS INC. | DE | PAINEWEBBER CAPITAL INC. | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
| UBS AMERICAS INC. | DE | UBS FUND ADVISOR LLC | E | Control |
Registrations
Federal
IA
Mar 29, 2012 REGISTERED
Address
299 PARK AVE.29TH FLOOR
NEW YORK, NY 10170
United States
Phone: 212-821-6053