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Building 2UBS OCONNOR LLC

Map pinCHICAGO, IL
Phone312-525-6000
NotebookSEC #801-57469
Total AUM
$13.8B
Employees
74
Clients
40

Firm overview

UsersClient Breakdown by AUM

Circle dollar signAUM previous 5 years

Smooth Smooth / Detailed

HotelBusiness

Principal Address
ONE NORTH WACKER DRIVE, FLOOR 31
CHICAGO
IL 60606
United States
Operating Hours
9AM TO 5PM
Monday - Friday
Phone
312-525-6000
Other Offices
9

ReceiptFinancials

Total AUM
$13.8B
Accounts
40
Discretionary
$13.6B
Accounts
39
Non-Discretionary
$121.7M
Accounts
1

ContactClients

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Pooled Vehicle Clients
39
AUM
$13.6B
Insurance Company Clients
1
AUM
$121.7M

Briefcase businessServices

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Services Offered
Institutional Portfolio ManagementPooled Vehicle Portfolio Management
Compensation Types
Charges Percentage AUMCharges Performance-Based

Shield checkCompliance

Disclosures
Court Injunction (Past 10 Years)Dismissed Civil Action (Settlement)Felony ChargeFelony ConvictionOther Regulator Denial/Suspension/RevocationOther Regulator False Statement/DishonestyOther Regulator Order (Past 10 Years)Other Regulator Violation FindingPending Civil ProceedingSEC/CFTC False Statement FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Rule Violation
State Registrations
CTFLILNYTN

HandshakeAffiliates

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Affiliates
Reported 31 business affiliates.
Claimed Affiliates
Reported as an affiliate by 18 other businesses.

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