UST ADVISERS, INC.
CRD #112682 SEC #801-60277 STAMFORD, CT 203-352-4400
SEC Registered
Total AUM
$12.6B
Discretionary
$12.6B
Employees
--
Clients
0
Accounts
23
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 | PRESIDENT AND DIRECTOR | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | PRESIDENT AND DIRECTOR | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | PRESIDENT AND DIRECTOR | NA | Control |
| AUFENANGER, ROBERT, FRANCIS | I | PRESIDENT AND DIRECTOR | 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 |
| BANKS, KEITH, THOMAS | I | PRESIDENT | NA | Control |
| BORDEWICK, JAMES, RICHARD | I | CHIEF LEGAL OFFICER | NA | Control |
| DAVISON, SHARON, MAURINE | I | SR. VICE PRESIDENT & DIRECTOR OF SECURITIES COMPLIANCE | NA | |
| DAVISON, SHARON, MAURINE | I | SVP & CCO, EXCELSIOR FUNDS & U.S. TRUST COMPANY NAAMD | NA | |
| DAVISON, SHARON, MAURINE | I | SR VP & CHIEF COMPLIANCE OFFCER OF THE EXCELSIOR FUNDS & U.S. TRUST ADVISERS | NA | |
| DAVISON, SHARON, MAURINE | I | DIRECTOR OF SECURITIES COMPLIANCE FOR U.S. TRUST CORPORATION SUBSIDIARIES | NA | |
| DILSAVER, EVELYN, SANCIANGCO | I | PRESIDENT, MUTUAL FUND DIVISION | NA | |
| DILSAVER, EVELYN, SANCIANGCO | I | PRESIDENT, MUTUAL FUND DIVISION | NA | |
| DILSAVER, EVELYN, SANCIANGCO | I | PRESIDENT, MUTUAL FUND DIVISION | NA | |
| FERDINAND, WILLIAM, VAN | I | MANAGING DIRECTOR | NA | Control |
| FIRTELL, STEFANIE, AIMEE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FIRTELL, STEFANIE, AIMEE | I | CHIEF COMPLIANCE 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 | |
| INGHAM, LOIS, GRAY | I | MANAGING DIRECTOR | NA | |
| INGHAM, LOIS, GRAY | I | MANAGING DIRECTOR | NA | |
| INGHAM, LOIS, GRAY | I | MANAGING DIRECTOR | NA | |
| INGHAM, LOIS, GRAY | I | MANAGING DIRECTOR | NA | |
| INGHAM, LOIS, GRAY | I | MANAGING DIRECTOR | NA | |
| JONES, MICHAEL, ANTHONY | I | PRESIDENT | NA | Control |
| JONES, MICHAEL, ANTHONY | I | PRESIDENT | NA | Control |
| KNIGHT, NICOLA | I | CHIEF LEGAL OFFICER | NA | |
| KNIGHT, NICOLA | I | CHIEF LEGAL OFFICER | NA | |
| KNIGHT, NICOLA | I | CHIEF LEGAL OFFICER | NA | |
| LEACH, TIMOTHY, JOHN | I | DIRECTOR | NA | Control |
| LEACH, TIMOTHY, JOHN | I | DIRECTOR | NA | Control |
| LEACH, TIMOTHY, JOHN | I | EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | NA | Control |
| LINDGREN, DOUGLAS, ALAN | I | MANAGING DIRECTOR | NA | Control |
| LINDGREN, DOUGLAS, ALAN | I | MANAGING DIRECTOR | NA | Control |
| MARTINEZ, MARY | I | DIRECTOR | NA | Control |
| MARTINEZ, MARY | I | DIRECTOR | NA | Control |
| MARTINEZ, MARY | I | DIRECTOR | NA | Control |
| MCALLEY, KENNETH, JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MCALLEY, KENNETH, JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MCDONNELL, NEIL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| MCDONNELL, NEIL | I | CHIEF FINANCIAL OFFICER AND TREASURER | NA | Control |
| OSMUN, JEFFREY, THOMAS | I | DIRECTOR | NA | Control |
| OSMUN, JEFFREY, THOMAS | I | DIRECTOR | NA | Control |
| OSMUN, JEFFREY, THOMAS | I | DIRECTOR | NA | Control |
| OSMUN, JEFFREY, THOMAS | I | DIRECTOR | NA | Control |
| OSMUN, JEFFREY, THOMAS | I | DIRECTOR | NA | Control |
| OSMUN, JEFFREY, THOMAS | I | DIRECTOR | NA | Control |
| OSMUN, JEFFREY, THOMAS | I | DIRECTOR | NA | Control |
| OSMUN, JEFFREY, THOMAS | I | DIRECTOR | NA | Control |
| PASTORE, RALPH, A | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| PASTORE, RALPH, A | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| PASTORE, RALPH, A | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| PASTORE, RALPH, A | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| PASTORE, RALPH, A | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| PASTORE, RALPH, A | I | TREASURER AND CHIEF FINANCIAL OFFICER | NA | |
| PEREIRA, GEORGE, MANUEL | I | CFO, MUTUAL FUND DIVISION | NA | |
| PEREIRA, GEORGE, MANUEL | I | CFO, MUTUAL FUND DIVISION | NA | |
| PEREIRA, GEORGE, MANUEL | I | CFO, MUTUAL FUND DIVISION | NA | |
| PYLE, DOUGLAS, HILDRETH | I | MANAGING DIRECTOR | NA | Control |
| PYLE, DOUGLAS, HILDRETH | I | MANAGING DIRECTOR | NA | Control |
| PYLE, DOUGLAS, HILDRETH | I | MANAGING DIRECTOR | NA | Control |
| SANCHEZ, OLGA, JONAS | I | SECRETARY AND GENERAL COUNSEL | NA | Control |
| SANCHEZ, OLGA, JONAS | I | SECRETARY AND GENERAL COUNSEL | NA | Control |
| SANFORD, GREGORY, FRANKLIN | I | PRESIDENT & CEO, US TRUST, NA | NA | Control |
| SANFORD, GREGORY, FRANKLIN | I | PRESIDENT & CEO, US TRUST, NA | NA | Control |
| SANFORD, GREGORY, FRANKLIN | I | PRESIDENT & CEO, US TRUST, NA | NA | Control |
| SANFORD, GREGORY, FRANKLIN | I | PRESIDENT & CEO, US TRUST, NA | NA | Control |
| SUSS, STEVEN | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| SUSS, STEVEN | I | PRESIDENT AND DIRECTOR | NA | Control |
| SUSS, STEVEN | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| SUSS, STEVEN | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| WALLING, CRAIG, LEE | I | CEO, PRESIDENT AND DIRECTOR | NA | Control |
| WALLING, CRAIG, LEE | I | CEO, PRESIDENT AND DIRECTOR | NA | Control |
| WILLIAMS, DAVID, JOHN | I | MANAGING DIRECTOR | NA | Control |
| WILLIAMS, DAVID, JOHN | I | MANAGING DIRECTOR | NA | Control |
| WILLIAMS, DAVID, JOHN | I | MANAGING DIRECTOR | NA | Control |
| WILSON, CHRISTOPHER, LAWRENCE | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| WILSON, CHRISTOPHER, LAWRENCE | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| WILSON, CHRISTOPHER, LAWRENCE | I | SENIOR VICE PRESIDENT AND DIRECTOR | NA | Control |
| WONDRACK, LINDA, JEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WONDRACK, LINDA, JEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WONDRACK, LINDA, JEAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BANK OF AMERICA, N.A. | DE | 100% OWNER | E | Control |
| THE CHARLES SCHWAB CORPORATION | DE | PARENT COMPANY OF U.S. TRUST CORPORATION | E | Control |
| U.S. TRUST COMPANY, NATIONAL ASSOCIATION | DE | 100% OWNER | E | Control |
| U.S. TRUST COMPANY, NATIONAL ASSOCIATION | 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 |
| UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | DE | 100% OWNER | E | Control |
| UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | DE | 100% OWNER | E | Control |
| UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | DE | 100% OWNER | E | Control |
| UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | DE | 100% OWNER | E | Control |
| UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | 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 |
| NB HOLDINGS CORPORATION | DE | UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | E | Control |
| NB HOLDINGS CORPORATION | DE | UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | E | Control |
| NB HOLDINGS CORPORATION | DE | BANK OF AMERICA, N.A. | 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 |
| U.S. TRUST CORPORATION | DE | U.S. TRUST COMPANY, NATIONAL ASSOCIATION | E | Control |
| U.S. TRUST CORPORATION | DE | UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | E | Control |
| U.S. TRUST CORPORATION | DE | UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | E | Control |
| U.S. TRUST CORPORATION | DE | UNITED STATES TRUST COMPANY, NATIONAL ASSOCIATION | E | Control |
| U.S. TRUST CORPORATION | DE | U.S. TRUST COMPANY, NATIONAL ASSOCIATION | E | Control |
Registrations
Federal
IA
Feb 27, 2007 REGISTERED
Notice Filings (4)
CA CT MD NY
Address
225 HIGH RIDGE ROADWEST BUILDING
STAMFORD, CT 6905
USA
Phone: 203-352-4400