# UBS REALTY INVESTORS LLC

UBS REALTY INVESTORS LLC of HARTFORD, CT is an SEC-registered investment adviser.

## Registration

- CRD: 107758
- Type: SEC-registered investment adviser
- SEC file number: 801-45426
- Location: 10 STATE HOUSE SQUARE, 12TH FLOOR, HARTFORD, CT, 06103-3604
- Phone: 860-616-9000
- Latest filing: 2026-07-12
- Regulatory AUM: $2.3B
- Discretionary AUM: $2.3B
- Clients: 94
- Accounts: 3

## Business model

- Compensation: % of AUM, Fixed, Performance, Other
- Clients served: Pooled vehicles, Investment cos, Other

## Officers, owners & control persons (67)

_Showing 25 of 67 people._

| Name | Role | Location |
| --- | --- | --- |
| [RICHARD LARA](https://search.stillhousedata.com/person/80685) | EXECUTIVE DIRECTOR | HARTFORD, CT |
| [MARIO MATURO](https://search.stillhousedata.com/person/80696) | EXUCUTIVE DIRECTOR | HARTFORD, CT |
| [Steven Mark Kapiloff](https://search.stillhousedata.com/person/110646) | GENERAL COUNSEL/ SECRETARY | Hartford, CT |
| [Thomas James O'Shea](https://search.stillhousedata.com/person/110648) | MANAGING DIRECTOR | Hartford, CT |
| [LARISSA BELOVA](https://search.stillhousedata.com/person/130101) | MANAGING DIRECTOR; PRESIDENT & CEO | HARTFORD, CT |
| [Adi Mayan](https://search.stillhousedata.com/person/132758) | MANAGING DIRECTOR | HARTFORD, CT |
| [Clayton Fessenden Christopher](https://search.stillhousedata.com/person/613665) | EXECUTIVE DIRECTOR | Austin, TX |
| [Jeffrey Gerard Maguire](https://search.stillhousedata.com/person/706952) | MANAGING DIRECTOR | — |
| [Paul Michael Canning](https://search.stillhousedata.com/person/706953) | MANAGING DIRECTOR | — |
| [Nicholas Simon Pile](https://search.stillhousedata.com/person/706954) | CHIEF COMPLIANCE OFFICER | — |
| [Rodney S Chu](https://search.stillhousedata.com/person/706955) | MANAGING DIRECTOR | — |
| [Matthew G Johnson](https://search.stillhousedata.com/person/706956) | PRESIDENT & CEO | — |
| [Tiffany Anne Gherlone](https://search.stillhousedata.com/person/706957) | MANAGING DIRECTOR | — |
| [Amy D White](https://search.stillhousedata.com/person/706958) | MANAGING DIRECTOR | — |
| [Peter S Juliani](https://search.stillhousedata.com/person/706959) | EXECUTIVE DIRECTOR | — |
| [O'SHEA COLM JAMES](https://search.stillhousedata.com/person/748399) | CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL; GENERAL COUNSEL/SECRETARY (+2 more) | — |
| [ANATHAN THOMAS JOSEPH](https://search.stillhousedata.com/person/757541) | MANAGING DIRECTOR | — |
| [HARRISON WILLIAM REQUARDT](https://search.stillhousedata.com/person/757542) | MANAGING DIRECTOR | — |
| [OKEEFE JAMES WILLIAM](https://search.stillhousedata.com/person/757543) | CHAIRMAN; MANAGING DIRECTOR; PRESIDENT AND CEO | — |
| [LINDQUIST DEAN ALDEN](https://search.stillhousedata.com/person/757544) | MANAGING DIRECTOR | — |
| [SWAN SIAD PETER](https://search.stillhousedata.com/person/757545) | MANAGING DIRECTOR | — |
| [LYNCH MATTHEW HAYWARD](https://search.stillhousedata.com/person/757546) | GENERAL COUNSEL; MANAGING DIRECTOR; SECRETARY; GENERAL COUNSEL; SECRETARY; MANAGING DIRECTOR (+2 more) | — |
| [CULLEN MICHELLE ANNE](https://search.stillhousedata.com/person/757547) | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER | — |
| [CREAN KEVIN ANTHONY](https://search.stillhousedata.com/person/757548) | MANAGING DIRECTOR | — |
| [TRUSZ RICHARD GERARD](https://search.stillhousedata.com/person/757549) | MANAGING DIRECTOR | — |


## Disclosures (136)

_Showing 10 of 55 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-09-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS OR CONCLUSIONS THEREIN, UBS AG, UBS FINANCIAL SERVICES, INC., AND UBS SECURITIES LLC (COLLECTIVELY, "UBS") CONSENTED TO THE ENTRY OF A CFTC ORDER MAKING FINDINGS THAT, AT CERTAIN TIMES FROM AT LEAST 2015 UNTIL 2024, UBS FAILED TO DILIGENTLY SUPERVISE MATTERS… | Final | $5.0M |
| 2025-02-18 | regulatory | THE KOREA FINANCIAL SUPERVISORY SERVICE (FSS) UNDERTOOK AN INDUSTRY-WIDE REVIEW OF SHORTSALE ACTIVITIES OF GLOBAL INVESTMENT BANKS STARTING FROM 2023 FOR A PERIOD OF 14 MONTHS. UBSWAS ONE OF THE 14 GLOBAL INVESTMENT BANKS INVOLVED. THE SCOPE OF THE REVIEW WASRETROSPECTIVE IN NATURE PRIMARILY COVERIN… | Final | $2.5M |
| 2025-01-14 | regulatory | THE CMD ALLEGED THAT CERTAIN CLIENT TRADES SUBMITTED BY UBS ON 15 SEPTEMBER 2020 CONSTITUTED AS MARKET ABUSE UNDER TURKISH LAW (SUBPARAGRAPHS (A) AND (F) OF THE FIRST PARAGRAPH OF ARTICLE 5 OF THE COMMUNIQUE ON MARKET ABUSE NO. VI-104.1) AND SUBJECT TO ADMINISTRATIVE FINES. | Final | $33K |
| 2024-07-03 | regulatory | THE ALLEGATIONS WERE THAT CSSB AND CSSL ENGAGED IN NAKED SHORT SALES AMMOUNTING TO APPROXIMATELY KRW 60.33 BILLION AND KRW 35.28 BILLION, RESPECTIVELY, WITHOUT POSSESSING THE STOCKS AT THE TIME OF PLACING THE SHORT SALE ORDERS. | On Appeal | $20.0M |
| 2023-08-01 | regulatory | MAS FOUND SHORTCOMINGS IN THE AREAS OF: (A) CUSTOMER RISK ASSESSMENT. FIVE OF THE FIS (BJBS, BOIPL, CITI, CSSB, UOBKH) FAILED TO IMPLEMENT ADEQUATE POLICIES OR PROCESSES FOR THE RATING OF ML RISKS PRESENTED BY SOME OF THEIR CUSTOMERS. THIS LED TO MIS-RATING OF ML RISKS AND AFFECTED THEIR ABILITY TO… | Final | $6.8M |
| 2023-07-24 | regulatory | ON OR ABOUT JULY 24, 2023, THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY (FINMA) CONCLUDED PROCEEDINGS AGAINST CREDITSUISSE, FINDING THAT CREDIT SUISSE HAS SERIOUSLY AND SYSTEMATICALLY VIOLATED FINANCIAL MARKET LAW IN ITS RELATIONSHIP WITH THEARCHEGOS FAMILY OFFICE DUE TO VARIOUS ORGANIZATIONAL D… | Final | $268.5M |
| 2023-07-21 | regulatory | THE FRB CONSENT ORDER, ARISING FROM RISK MANAGEMENT FAILINGS ASSOCIATED WITH THE MARCH 2021 DEFAULT OF ARCHEGOS CAPITALMANAGEMENT LP, ALLEGES VIOLATIONS UNDER SECTION 8(I)(2) OF THE FEDERAL DEPOSIT INSURANCE ACT, AS WELL AS SECTIONS 252.155-157 OFREGULATION YY OF THE BOARD OF GOVERNORS; THE ALLEGATI… | Final | $268.5M |
| 2022-09-27 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ("COMMISSION") FOUND THAT FROM 2018 TO SEPTEMBER2022 ("RELEVANT PERIOD") UBS FINANCIAL SERVICES INC., UBS SECURITIES LLC, AND UBS AG(COLLECTIVELY "UBS" OR "RESPONDENTS") VIOLATED SECTIONS 4G,4S(F)(1)(C), 4S(G)(1) AND (3), AND4S(H)(1)(B) OF THE COMMODITY EXCHA… | Final | $75.0M |
| 2021-10-14 | regulatory | THE CFTC ALLEGED THAT DURING THE RELEVANT PERIOD (JULY 8, 2019 TO DECEMBER 23, 2019) UBSAGFAILED TO KEEP REQUIRED VOICE RECORDING FILES CONTAINING ORAL COMMUNICATIONS RELATEDTOREGULATED SWAP ACTIVITY AND PRE-EXECUTION TRADE INFORMATION FROM, DESPITE THE ONE-YEARRETENTION PERIOD REQUIRED UNDER REGULA… | Final | $500K |
| 2021-08-03 | regulatory | THE SFC FINED AND REPRIMANDED UBS AG AND UBS SECURITIES ASIA LIMITED (COLLECTIVELY"UBS")HK$9.8M AND HK$1.75M RESPECTIVELY OVER VARIOUS REGULATORY BREACHES WHICH CONCERNEDUBS'SSYSTEMS AND CONTROLS. THE SFC FOUND THAT UBS FAILED TO: - MAKE PROPER DISCLOSURE OFITSFINANCIAL INTERESTS IN SOME HONG KONG L… | Final | $1.5M |


## Private funds (3)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| TRUMBULL PROPERTY INCOME FUND LP | Other Private Fund | Delaware | 118 | $2.2B | $1.0M |
| UBS COLD STORAGE FAMILY OFFICE FUND I LP | Other Private Fund | Delaware | 6 | $54.4M | — |
| TRUMBULL (US) CORE MULTI-FUND LP | Other Private Fund | Delaware | 11 | $13.2M | $500K |


## Branch offices (5)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| SAN FRANCISCO | CA | 4 | 415-538-4800 |
| DALLAS | TX | 4 | 972-458-3309 |
| NEW YORK | NY | 3 | 212-882-5460 |
| CHICAGO | IL | 2 | 312-525-7453 |
| LOS ANGELES | CA | 1 | 1-310-772-8020 |


## Fund service providers (1)

- custodian: UBS COLD STORAGE FAMILY OFFICE INTERNATIONAL INVESTORS LP

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/107758/brochure
- Similar advisers: https://search.stillhousedata.com/firm/107758/similar
- Related entities: https://search.stillhousedata.com/firm/107758/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/107758

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.