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UBS ASSET MANAGEMENT FUNDS LTD

dba UBS ASSET MANAGEMENT FUNDS LTD · CRD 173081 · Exempt Reporting Adviser

Criminal disclosureRegulatory disclosureCivil/Other disclosureManages private funds

UBS ASSET MANAGEMENT FUNDS LTD is a Exempt Reporting Adviser. As an Exempt Reporting Adviser, the firm does not report regulatory assets under management on this form, and manages 3 private fund(s). It reports 14 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory, Civil/Other).

Regulatory assets under management

Discretionary—
Non-discretionary—
Total RAUM—
Accounts—

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 14 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 173081. adviserinfo.sec.gov/firm/summary/173081.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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