UA, LLC
CRD #113105 SEC #801-60501 NEW YORK, NY 212-612-9100
SEC Registered
Total AUM
$825M
Discretionary
$825M
Employees
11
Clients
1
Accounts
1
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 19, 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 |
|---|---|---|---|---|
| CALABRESE, STEPHANIE, DEAN | I | MEMBER/CHIEF COMPLIANCE OFFICER | NA | Control |
| CALABRESE, STEPHANIE, DEAN | I | MEMBER/CHIEF COMPLIANCE OFFICER | NA | Control |
| ELMALEH, JOSEPH | I | EXECUTIVE COMMITTEE MEMBER/BOARD MEMBER | NA | Control |
| FLOM, JOSEPH, DANIEL | I | EXECUTIVE COMMITTEE MEMBER/BOARD MEMBER | NA | Control |
| KENNEDY, THOMAS, P | I | CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER | NA | Control |
| KENNEDY, THOMAS, P | I | CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER | NA | Control |
| KENNEDY, THOMAS, P | I | CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KENNEDY, THOMAS, P | I | CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| KENNEDY, THOMAS, P | I | CHIEF FINANCIAL OFFICER/CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCOY, RICHMOND | I | CEO/CIO | NA | Control |
| MONZELLA, DAVID, GLENN | I | MEMBER | NA | Control |
| MONZELLA, DAVID, GLENN | I | MEMBER | NA | Control |
| SCOTT, EDWARD | I | MEMBER | NA | Control |
| SCOTT, EDWARD | I | MEMBER | NA | Control |
| SCOTT, EDWARD | I | CHIEF LEGAL OFFICER | NA | |
| SCOTT, EDWARD | I | CHIEF LEGAL OFFICER | NA | |
| SCOTT, EDWARD | I | CHIEF LEGAL OFFICER | NA | |
| SCOTT, EDWARD | I | CHIEF LEGAL OFFICER | NA | |
| SCOTT, EDWARD | I | CHIEF LEGAL OFFICER | NA | |
| STARK, ROBERT, SHANNON | I | MEMBER | NA | Control |
| STARK, ROBERT, SHANNON | I | MEMBER | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | DIRECTOR | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | DIRECTOR | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | CHAIRMAN BOARD OF DIRECTORS | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | DIRECTOR | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | DIRECTOR | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | DIRECTOR | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | DIRECTOR | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | DIRECTOR | NA | Control |
| UTENDAHL, JOHN, OSCAR | I | DIRECTOR | NA | Control |
| YUZON, MICHAEL, J. | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | |
| YUZON, MICHAEL, J. | I | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | NA | |
| UCP-UA, LLC | DE | MEMBER | C | Control |
| UCP-UA, LLC | DE | MEMBER | C | Control |
| UCP-UA, LLC | DE | MEMBER | C | Control |
| UCP-UA, LLC | DE | MEMBER | C | Control |
| UCP-UA, LLC | DE | MEMBER | C | Control |
| UCP-UA, LLC | DE | MEMBER | C | Control |
| UCP-UA,LLC | DE | BOARD MEMBER MANAGER | C | Control |
| UCP-UA,LLC | DE | BOARD MEMBER MANAGER | C | Control |
| UCP-UA,LLC | DE | BOARD MEMBER MANAGER | C | Control |
| ELMALEH, JOSEPH | I | MEMBER/DIRECTOR | B | Control |
| ELMALEH, JOSEPH | I | MEMBER/DIRECTOR | B | Control |
| ELMALEH, JOSEPH | I | EXECUTIVE COMMITTEE MEMBER/BOARD MEMBER | B | Control |
| ELMALEH, JOSEPH | I | MEMBER/DIRECTOR | B | Control |
| ELMALEH, JOSEPH | I | MEMBER/DIRECTOR | B | Control |
| ELMALEH, JOSEPH | I | MEMBER/DIRECTOR | B | Control |
| ELMALEH, JOSEPH | I | MEMBER/DIRECTOR | B | Control |
| ELMALEH, JOSEPH | I | BOARD MEMBER | B | Control |
| ELMALEH, JOSEPH | I | BOARD MEMBER | B | Control |
| ELMALEH, JOSEPH | I | BOARD MEMBER | B | Control |
| ESTATE OF JOSEPH H. FLOM | DE | MEMBER | B | |
| ESTATE OF JOSEPH H. FLOM | DE | MEMBER | B | |
| FLOM, JOSEPH, DANIEL | I | MEMBER/DIRECTOR | B | Control |
| FLOM, JOSEPH, DANIEL | I | MEMBER/DIRECTOR | B | Control |
| FLOM, JOSEPH, DANIEL | I | EXECUTIVE COMMITTEE MEMBER/BOARD MEMBER | B | Control |
| FLOM, JOSEPH, DANIEL | I | MEMBER/DIRECTOR | B | Control |
| FLOM, JOSEPH, DANIEL | I | MEMBER/DIRECTOR | B | Control |
| FLOM, JOSEPH, DANIEL | I | MEMBER/DIRECTOR | B | Control |
| FLOM, JOSEPH, DANIEL | I | MEMBER/DIRECTOR | B | Control |
| FLOM, JOSEPH, DANIEL | I | BOARD MEMBER | B | Control |
| MCCOY, RICHMOND | I | MEMBER/DIRECTOR | B | Control |
| MCCOY, RICHMOND | I | MEMBER/DIRECTOR | B | Control |
| MCCOY, RICHMOND | I | CEO/CIO | B | Control |
| MCCOY, RICHMOND | I | MEMBER/DIRECTOR | B | Control |
| MCCOY, RICHMOND | I | MEMBER/DIRECTOR | B | Control |
| MCCOY, RICHMOND | I | MEMBER/DIRECTOR | B | Control |
| MCCOY, RICHMOND | I | MEMBER/DIRECTOR | B | Control |
| MCCOY, RICHMOND | I | CEO/CIO BOARD MEMBER | B | Control |
| MCCOY, RICHMOND | I | CEO/CIO BOARD MEMBER | B | Control |
| MCCOY, RICHMOND | I | CEO/CIO BOARD MEMBER | B | Control |
| REIFF, HAL, DAVID | I | MEMBER/DIRECTOR | B | Control |
| REIFF, HAL, DAVID | I | MEMBER/DIRECTOR | B | Control |
| REIFF, HAL, DAVID | I | MEMBER | B | |
| REIFF, HAL, DAVID | I | MEMBER | B | Control |
| REIFF, HAL, DAVID | I | MEMBER | B | Control |
| REIFF, HAL, DAVID | I | MEMBER | B | Control |
| REIFF, HAL, DAVID | I | MEMBER | B | Control |
| REIFF, HAL, DAVID | I | MEMBER | B | |
| REIFF, HAL, DAVID | I | MEMBER | B | |
| REIFF, HAL, DAVID | I | MEMBER | B | |
| UTENDAHL, JOHN, OSCAR | I | CHAIRMAN BOARD OF DIRECTORS | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | F | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | E | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | E | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | E | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | E | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | E | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | E | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | C | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | C | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | C | Control |
| UTENDAHL, JOHN, OSCAR | I | UCP-UA, LLC | C | Control |
Registrations
Federal
IA
Jun 19, 2012 REGISTERED
Notice Filings (6)
CA CT GA NJ NY TX
Address
30 BROAD ST., 31ST FL.NEW YORK, NY 10004
United States
Phone: 212-612-9100