Uob Global Capital LLC (New York)

Name: Uob Global Capital LLC
Address: 592 Fifth Avenue, New York, NY, 10036 4707
Telephone: 212-398-6633

Uob Global Capital LLC is a large advisory firm based in New York. It manages $137.74 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of New York.

Uob Global Capital provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Uob Global Capital: assets under management

The assets under management (AUM) of Uob Global Capital LLC is $137.74 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 3149% since the beginning of its operation, and $60.41 million of the total AUM is attributable to clients outside of the United States.

The firm manages $137.74 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $45.91 million each.

Uob Global Capital has custody of $95.3 million in cash and securities for 3 clients in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Uob Global Capital LLC for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Kwong Yew Wong serves?

The only and largest group of clients of Kwong Yew Wong is pooled investment vehicles with 3 clients and $137.74 million of assets under management. Among the 8 most similar advisory firms, Uob Global Capital has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $137.74 million for 3 clients. 33% of the firm’s clients are foreign persons or businesses.

Uob Global Capital also advises several private funds. Namely, three private equity funds. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at Uob Global Capital LLC

The company employs 7 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Kwong Yew Wong has been acting as President since 1 Oct 1998. Wah Yan Wong joined the executive team most recently as the Board Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc Uob Holdings (Usa)	Member	1 Oct 1998	50% - 75%	13-3912795
Teamco Management Co. Llc	Member	1 Oct 1998	25% - 50%	13-4019444
David Tuvia Goss	Manager/board member	1 Oct 1998	Other	4375267
Michael Barzel Landau	Manager/board member	1 Oct 1998	Other	1098548
Howard Craig Berkenfeld	Chief compliance officer	1 Oct 1998	Other	1932766
Ee Chong Wee	Board member	1 Oct 1998	Other	4375298
Inc Uob Holdings(Usa)	Parent	1 Oct 1998	50% - 75%	13-3912795
Kwong Yew Wong	Director	1 Oct 1998	Other	4375284
Barry Maurice Gillman	Principal	1 Oct 1998	Other	704819
Sea Eng Ong	Board member	1 Mar 2001	Other	6029691
Peter Barzel Landau	Principal	1 Nov 2001	Other	1326761
Erberto Deguzman	Board member	1 Dec 2015	Other	6767750
Wah Yan Wong	Board member	1 Nov 2016	Other	6767738

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
United Overseas Bank Group	Indirect parent	1 Oct 1998	75% - 100%	foreign
United Overseas Bank Limited	Indirect parent	1 Nov 1998	50% - 75%	foreign

Based in New York

The principal office where Uob Global Capital LLC performs its advisory services is located at 592 Fifth Avenue, New York, NY 10036 4707, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-398-6633 or by fax 212-398-4030. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at uobglobal.com.