RIA Intel›Advisers›Illinois›UBS OCONNOR LLC

UBS OCONNOR LLC

Advisory

N·CHICAGO, IL

Data as of Mar 30, 2024 · Source: SEC Form ADV

Total AUM

$13.8B

1-Year AUM Growth

-7.8%

3-Year CAGR

-1.2%

Employees

58

Assets Under Management

Total AUM$13.8B

Discretionary AUM$13.6B

Non-Discretionary AUM$122M

Discretionary %99.1%

Total Clients—

Team

Total Employees58

Investment Advisers74

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record64

First FilingMar 29, 2001

Latest FilingMar 30, 2024

🔒 Full AUM trend chart and 64 historical filings spanning 23+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on UBS OCONNOR LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.