UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION

Legal name: U.S. TRUST NEW YORK ASSET MANAGEMENT DIVISION

CRD #112550 SEC #801-60281 NEW YORK, NY 212-852-1000

SEC Registered

Total AUM

$4.9B

Discretionary

$4.9B

Employees

Clients

Accounts

Firm Details

Organization Type: Other (specify) (SEPARATELY IDENTIFIABLE DIVISION OF A BANK)
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
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA	Control
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR; EQUITY INVESTMENTS	NA	Control
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR; EQUITY INVESTMENTS	NA	Control
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR; EQUITY INVESTMENTS	NA	Control
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA	Control
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA	Control
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA	Control
APRUZZESE, JOHN, JEFFREY	I	MANAGING DIRECTOR	NA
BAILEY, JAMES, LEE	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
BAILEY, JAMES, LEE	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
BAILEY, JAMES, LEE	I	EXECUTIVE VICE PRESIDENT - PRODUCT MANAGEMENT	NA	Control
BAILEY, JAMES, LEE	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
BAILEY, JAMES, LEE	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
BAILEY, JAMES, LEE	I	EXECUTIVE VICE PRESIDENT & CHIEF OPERATING OFFICER	NA	Control
BANKS, KEITH, THOMAS	I	CHIEF INVESTMENT OFFICER	NA	Control
BAYLES, RICHARD	I	MANAGING DIRECTOR	NA
BAYLES, RICHARD	I	MANAGING DIRECTOR	NA
BAYLES, RICHARD	I	MANAGING DIRECTOR	NA
BAYLES, RICHARD	I	MANAGING DIRECTOR	NA
BAYLES, RICHARD, LYMAN	I	MANAGING DIRECTOR	NA	Control
BAYLES, RICHARD, LYMAN	I	MANAGING DIRECTOR	NA
BAYLES, RICHARD, LYMAN	I	MANAGING DIRECTOR	NA	Control
BAYLES, RICHARD, LYMAN	I	MANAGING DIRECTOR	NA	Control
BAYLES, RICHARD, LYMAN	I	MANAGING DIRECTOR	NA	Control
BRAVERMAN, ALAN, MICHAEL	I	MANAGING DIRECTOR	NA
BRAVERMAN, ALAN, MICHAEL	I	MANAGING DIRECTOR	NA
BRAVERMAN, ALAN, MICHAEL	I	MANAGING DIRECTOR	NA
CASSIDY, EDITH, ANN	I	MANAGING DIRECTOR	NA
CASSIDY, EDITH, ANN	I	MANAGING DIRECTOR	NA
CASSIDY, EDITH, ANN	I	MANAGING DIRECTOR	NA
CASSIDY, EDITH, ANN	I	MANAGING DIRECTOR	NA
CASSIDY, EDITH, ANN	I	MANAGING DIRECTOR	NA
DANZGER, NEIL, WINTER	I	MANAGING DIRECTOR	NA
DANZGER, NEIL, WINTER	I	MANAGING DIRECTOR	NA
DANZGER, NEIL, WINTER	I	MANAGING DIRECTOR	NA
DANZGER, NEIL, WINTER	I	MANAGING DIRECTOR	NA
DANZGER, NEIL, WINTER	I	MANAGING DIRECTOR	NA
DAVISON, SHARON, MAURINE	I	SR. VICE PRESIDENT & DIRECTOR OF SECURITIES COMPLIANCE	NA
DAVISON, SHARON, MAURINE	I	SVP & CCO, EXCELSIOR FUNDS & U.S. TRUST NYAMD	NA
DAVISON, SHARON, MAURINE	I	SR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER OF THE EXCELSIOR FUNDS AND U.S. TRUST ADVISERS	NA
DAVISON, SHARON, MAURINE	I	DIRECTOR OF SECURITIES COMPLIANCE FOR U.S. TRUST CORPORATION SUBSIDIARIES	NA
ELLIS, KATHERINE, THERESE	I	MANAGING DIRECTOR	NA
ELLIS, KATHERINE, THERESE	I	MANAGING DIRECTOR	NA
ELLIS, KATHERINE, THERESE	I	MANAGING DIRECTOR	NA
ELLIS, KATHERINE, THERESE	I	MANAGING DIRECTOR	NA
FANN, DAVID, I CHI	I	MANAGING DIRECTOR	NA
FANN, DAVID, I CHI	I	MANAGING DIRECTOR	NA
FANN, DAVID, I CHI	I	MANAGING DIRECTOR	NA
FIRTELL, STEFANIE, AIMEE	I	CHIEF COMPLIANCE OFFICER	NA	Control
FIRTELL, STEFANIE, AIMEE	I	CHIEF COMPLIANCE OFFICER	NA	Control
GALLAGHER, JOSEPH, AUTH	I	MANAGING DIRECTOR	NA
GALLAGHER, JOSEPH, AUTH	I	MANAGING DIRECTOR	NA
GALLAGHER, JOSEPH, AUTH	I	MANAGING DIRECTOR	NA
GALLAGHER, JOSEPH, AUTH	I	MANAGING DIRECTOR	NA
GALLAGHER, JOSEPH, AUTH	I	MANAGING DIRECTOR	NA
GROHOWSKI, LEO, P.	I	EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
GROHOWSKI, LEO, P.	I	EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
GROHOWSKI, LEO, P.	I	EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
GROHOWSKI, LEO, P.	I	EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
GROHOWSKI, LEO, P.	I	EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
GROHOWSKI, LEO, P.	I	EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
HASSENFELT, STEPHEN, CRAIG	I	CHIEF OPERATING OFFICER FOR INVESTMENTS FOR U.S. TRUST CORPORATION SUBSIDIARIES	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
LEACH, TIMOTHY, JOHN	I	EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER	NA	Control
MARTINEZ, MARY	I	MANAGING DIRECTOR; CHIEF OPERATING OFFICER - INVESTMENT MANAGEMENT	NA	Control
MARTINEZ, MARY	I	MANAGING DIRECTOR; CHIEF OPERATING OFFICER - INVESTMENT MANAGEMENT	NA	Control
MARTINEZ, MARY	I	MANAGING DIRECTOR; CHIEF OPERATING OFFICER - INVESTMENT MANAGEMENT	NA	Control
MARTINEZ, MARY	I	MANAGING DIRECTOR; CHIEF OPERATING OFFICER - ASSET MANAGEMENT	NA	Control
MCALLEY, KENNETH, JOSEPH	I	EXECUTIVE VICE-PRESIDENT	NA
MCALLEY, KENNETH, JOSEPH	I	EXECUTIVE VICE-PRESIDENT	NA
MCALLEY, KENNETH, JOSEPH	I	EXECUTIVE VICE-PRESIDENT	NA
MCALLEY, KENNETH, JOSEPH	I	EXECUTIVE VICE-PRESIDENT	NA
MOORE, COLIN	I	CHIEF INVESTMENT OFFICER	NA	Control
MOORE, COLIN	I	HEAD OF EQUITY INVESTMENTS	NA	Control
NAPOLI, PAUL, KEVIN	I	EXECUTIVE VICE-PRESIDENT	NA	Control
NAPOLI, PAUL, KEVIN	I	EXECUTIVE VICE-PRESIDENT	NA	Control
NAPOLI, PAUL, KEVIN	I	EXECUTIVE VICE-PRESIDENT	NA	Control
NAPOLI, PAUL, KEVIN	I	EXECUTIVE VICE-PRESIDENT	NA	Control
NAPOLI, PAUL, KEVIN	I	EXECUTIVE VICE-PRESIDENT	NA	Control
PEACHER, STEPHEN, C	I	HEAD OF LONG TERM FIXED INCOME INVESTMENTS	NA	Control
PEACHER, STEPHEN, C	I	HEAD OF LONG TERM FIXED INCOME INVESTMENTS	NA	Control
POWERS, ALEXANDER, DAVID	I	MANAGING DIRECTOR; FIXED INCOME INVESTMENTS	NA	Control
POWERS, ALEXANDER, DAVID	I	MANAGING DIRECTOR; FIXED INCOME INVESTMENTS	NA	Control
POWERS, ALEXANDER, DAVID	I	MANAGING DIRECTOR; FIXED INCOME INVESTMENTS	NA	Control
RENDINARO, JOHN, JULIUS	I	MANAGING DIRECTOR, EQUITY TRADING DIVISION	NA	Control
RENDINARO, JOHN, JULIUS	I	MANAGING DIRECTOR, EQUITY TRADING DIVISION	NA	Control
ROYTHER, RANDALL, THOMAS	I	HEAD OF CASH INVESTMENTS	NA	Control
SAGAR, ROSEMARY	I	MANAGING DIRECTOR	NA
SAGAR, ROSEMARY	I	MANAGING DIRECTOR	NA
SAGAR, ROSEMARY	I	MANAGING DIRECTOR	NA
SAGAR, ROSEMARY	I	MANAGING DIRECTOR	NA
SCATURRO, PETER, KEVIN	I	CHIEF EXECUTIVE OFFICER	NA	Control
SCATURRO, PETER, KEVIN	I	CHIEF EXECUTIVE OFFICER	NA	Control
SCATURRO, PETER, KEVIN	I	CHIEF EXECUTIVE OFFICER	NA	Control
SCATURRO, PETER, KEVIN	I	CHIEF EXECUTIVE OFFICER	NA	Control
SELINE, HARVEY, ALLEN	I	MANAGING DIRECTOR	NA
SELINE, HARVEY, ALLEN	I	MANAGING DIRECTOR	NA
SELINE, HARVEY, ALLEN	I	MANAGING DIRECTOR	NA
SEVILLA-SACASA, FRANCES, ALDRICH	I	PRESIDENT	NA	Control
SEVILLA-SACASA, FRANCES, ALDRICH	I	PRESIDENT	NA	Control
SEVILLA-SACASA, FRANCES, ALDRICH	I	PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR	NA	Control
SEVILLASACASA, FRANCES, ALDRICH	I	PRESIDENT	NA	Control
SHIELDS, MICHAEL, KIRK	I	MANAGING DIRECTOR	NA
SHIELDS, MICHAEL, KIRK	I	MANAGING DIRECTOR	NA
SHIELDS, MICHAEL, KIRK	I	MANAGING DIRECTOR	NA
SHIELDS, MICHAEL, KIRK	I	MANAGING DIRECTOR	NA
SPRINGER, JAY, BRIAN	I	MANAGING DIRECTOR	NA
SPRINGER, JAY, BRIAN	I	MANAGING DIRECTOR	NA
SPRINGER, JAY, BRIAN	I	MANAGING DIRECTOR	NA
SPRINGER, JAY, BRIAN	I	MANAGING DIRECTOR	NA
TAVEL, BRUCE	I	MANAGING DIRECTOR	NA	Control
TAVEL, BRUCE	I	MANAGING DIRECTOR	NA
TAVEL, BRUCE	I	MANAGING DIRECTOR	NA	Control
TAVEL, BRUCE	I	MANAGING DIRECTOR	NA	Control
TAVEL, BRUCE	I	MANAGING DIRECTOR	NA	Control
TAVEL, BRUCE	I	MANAGING DIRECTOR	NA
TAYLOR, FREDRICK, BROOKS	I	VICE-CHAIRMAN, CIO	NA	Control
TAYLOR, FREDRICK, BROOKS	I	VICE-CHAIRMAN, CIO	NA	Control
TAYLOR, FREDRICK, BROOKS	I	VICE-CHAIRMAN, CIO	NA	Control
TAYLOR, FREDRICK, BROOKS	I	VICE-CHAIRMAN, CIO	NA	Control
TAYLOR, FREDRICK, BROOKS	I	VICE-CHAIRMAN, CIO	NA	Control
TILLSON, DAVID, A	I	MANAGING DIRECTOR	NA
TILLSON, DAVID, A	I	MANAGING DIRECTOR	NA
TILLSON, DAVID, A	I	MANAGING DIRECTOR	NA
TILLSON, DAVID, A	I	MANAGING DIRECTOR	NA
WEISS, LEIGH, HOWARD	I	MANAGING DIRECTOR	NA
WEISS, LEIGH, HOWARD	I	MANAGING DIRECTOR	NA
WEISS, LEIGH, HOWARD	I	MANAGING DIRECTOR	NA
WEISS, LEIGH, HOWARD	I	MANAGING DIRECTOR	NA
WEISS, LEIGH, HOWARD	I	MANAGING DIRECTOR	NA
WHITELEY, GEORGE, CARPENTER	I	MANAGING DIRECTOR	NA
WHITELEY, GEORGE, CARPENTER	I	MANAGING DIRECTOR	NA
WHITELEY, GEORGE, CARPENTER	I	MANAGING DIRECTOR	NA
WHITELEY, GEORGE, CARPENTER	I	MANAGING DIRECTOR	NA
WILLIAMS, DAVID, JOHN	I	MANAGING DIRECTOR	NA
WILLIAMS, DAVID, JOHN	I	MANAGING DIRECTOR	NA
WILLIAMS, DAVID, JOHN	I	MANAGING DIRECTOR	NA
WONDRACK, LINDA, JEAN	I	CHIEF COMPLIANCE OFFICER	NA	Control
WONDRACK, LINDA, JEAN	I	CHIEF COMPLIANCE OFFICER	NA	Control
NB HOLDINGS CORPORATION	DE	SHAREHOLDER	E	Control
NB HOLDINGS CORPORATION	DE	SHAREHOLDER	E	Control
THE CHARLES SCHWAB CORPORATION	DE	PARENT COMPANY OF U.S. TRUST CORPORATION	E
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
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
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
THE CHARLES SCHWAB CORPORATION	DE	U.S. TRUST CORPORATION	E	Control

Registrations

Federal

Feb 27, 2007 REGISTERED

Notice Filings (4)

CT DE MD NY

Address

114 WEST 47TH STREET
NEW YORK, NY 10036-1532
USA

Phone: 212-852-1000