U.S. TRUST HEDGE FUND MANAGEMENT, INC.
CRD #109794 SEC #801-57894 STAMFORD, CT 203-352-4400
SEC Registered
Total AUM
$548.1M
Discretionary
$548.1M
Employees
10
Clients
--
Accounts
8
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 27, 2007
- 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 | CHIEF FINANCIAL OFFICER & TREASURER & DIRECTOR | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | CHIEF FINANCIAL OFFICER & TREASURER & DIRECTOR | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | CHIEF FINANCIAL OFFICER & TREASURER | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | CHIEF FINANCIAL OFFICER & TREASURER & DIRECTOR | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | CHIEF FINANCIAL OFFICER & TREASURER & DIRECTOR | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | CHIEF FINANCIAL OFFICER & TREASURER & DIRECTOR | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | CHIEF FINANCIAL OFFICER & TREASURER & DIRECTOR | NA | Control |
| BAILEY, JAMES, LEE | I | CHAIRMAN | NA | Control |
| BAILEY, JAMES, LEE | I | CHAIRMAN | NA | Control |
| BAILEY, JAMES, LEE | I | CHAIRMAN | NA | Control |
| BAILEY, JAMES, LEE | I | DIRECTOR | NA | Control |
| BAILIN, DAVID, RABB | I | DIRECTOR AND CHAIRMAN | NA | Control |
| BAILIN, DAVID, RABB | I | DIRECTOR AND CHAIRMAN | NA | Control |
| BAILIN, DAVID, RABB | I | DIRECTOR AND CHAIRMAN | NA | Control |
| BAILIN, DAVID, RABB | I | DIRECTOR AND CHAIRMAN | NA | Control |
| BAILIN, DAVID, RABB | I | DIRECTOR AND CHAIRMAN | NA | Control |
| BAILIN, DAVID, RABB | I | DIRECTOR AND CHAIRMAN | NA | Control |
| BINI, JOHN, JAY | I | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | NA | Control |
| BINI, JOHN, JAY | I | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| BOGGESS, SPENCER, NORTON | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT & CHIEF EXECUTIVE OFFICER | NA | Control |
| BOGGESS, SPENCER, NORTON | I | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| DAVISON, SHARON, MAURINE | I | DIRECTOR OF SECURITIES COMPLIANCE FOR U.S. TRUST CORPORATION SUBSIDIARIES | NA | |
| DAVISON, SHARON, MAURINE | I | SR. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER OF THE EXCELSIOR FUNDS AND U.S. TRUST ADVISERS | NA | |
| FIRTELL, STEFANIE, AIMEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTELL, STEFANIE, AIMEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| FIRTELL, STEFANIE, AIMEE | I | CHIEF COMPLIANCE OFFICER | NA | |
| GARDELLA, LEE, ANTHONY | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| GARDELLA, LEE, ANTHONY | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| GARDELLA, LEE, ANTHONY | I | SENIOR VICE PRESIDENT & DIRECTOR | NA | Control |
| GARDELLA, LEE, ANTHONY | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| GARDELLA, LEE, ANTHONY | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| GARDELLA, LEE, ANTHONY | I | VICE PRESIDENT & DIRECTOR | NA | Control |
| HASSENFEDT, STEPHEN, C. | I | CHAIRMAN/CEO/DIRECTOR | NA | Control |
| HASSENFELT, STEPHEN, CRAIG | I | CHAIRMAN/CEO/DIRECTOR | NA | Control |
| HOFFMAN, JOAN, ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOFFMAN, JOAN, ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOFFMAN, JOAN, ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| LINDGREN, DOUGLAS, ALAN | I | CHAIRMAN | NA | Control |
| LINDGREN, DOUGLAS, ALAN | I | CHAIRMAN | NA | Control |
| ORR, DONALD, F. | I | DIRECTOR | NA | Control |
| ORR, DONALD, F. | I | DIRECTOR | NA | Control |
| RAHE, MARIBETH, S | I | DIRECTOR | NA | |
| RAHE, MARIBETH, S | I | DIRECTOR | NA | |
| RATHOD, ALPESH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RATHOD, ALPESH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RATHOD, ALPESH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| RICH, JOHN, R. | I | DIRECTOR/ CHIEF INVESTMENT OFFICER | NA | Control |
| RICH, JOHN, R. | I | DIRECTOR/ CHIEF INVESTMENT OFFICER | NA | Control |
| SUSS, STEVEN | I | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | NA | Control |
| SUSS, STEVEN | I | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | NA | Control |
| SUSS, STEVEN | I | CHIEF FINANCIAL OFFICER, TREASURER AND DIRECTOR | NA | Control |
| WALLING, CRAIG, LEE | I | CHAIRMAN, CEO & DIRECTOR, U.S. TRUST COMPANY, N.A. | NA | Control |
| ZAKEM, ROBERT, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NB HOLDINGS CORPORATION | DE | SHAREHOLDER | E | Control |
| NB HOLDINGS CORPORATION | DE | SHAREHOLDER | E | Control |
| NB HOLDINGS CORPORATION | DE | SHAREHOLDER | E | Control |
| NB HOLDINGS CORPORATION | DE | SHAREHOLDER | E | Control |
| NCT HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| NCT HOLDINGS, INC. | DE | SHAREHOLDER | E | Control |
| U.S. TRUST CORPORATION | DE | 100% OWNER | E | Control |
| U.S. TRUST CORPORATION | DE | 100% OWNER | E | Control |
| U.S. TRUST CORPORATION | DE | 100% OWNER | E | Control |
| U.S. TRUST CORPORATION | DE | 100% OWNER | E | Control |
| U.S. TRUST CORPORATION | DE | 100% OWNER | E | Control |
| U.S. TRUST CORPORATION | DE | 100% OWNER | E | Control |
| U.S. TRUST CORPORATION | DE | 100% OWNER | E | Control |
| U.S. TRUST CORPORATION | DE | 100% OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BANK OF AMERICA CORPORATION | DE | NB HOLDINGS CORPORATION | E | Control |
| BANK OF AMERICA CORPORATION | DE | NB HOLDINGS CORPORATION | E | Control |
| BANK OF AMERICA CORPORATION | DE | NB HOLDINGS CORPORATION | E | Control |
| BANK OF AMERICA CORPORATION | DE | NB HOLDINGS CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | U.S. TRUST CORPORATION | E | Control |
| U.S. TRUST CORPORATION | DE | NCT HOLDINGS, INC. | E | Control |
| U.S. TRUST CORPORATION | DE | NCT HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Feb 27, 2007 REGISTERED
Notice Filings (2)
CT NC
Address
225 HIGH RIDGE ROADWEST BUILDING
STAMFORD, CT 6905
USA
Phone: 203-352-4400