Ubs Realty Investors LLC

Business, clients and compensation, as filed

Advisory activities

portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients and other advisory activities

Compensated by

a percentage of assets under management, fixed fees, performance-based fees and other

Client types

pooled investment vehicles (3)

Related persons include

a broker-dealer, another investment adviser, a security-based swap dealer, a commodity pool operator or commodity trading advisor, a futures commission merchant, a banking or thrift institution, a trust company, an insurance company or agency, a pension consultant, a sponsor or syndicator of limited partnerships and a sponsor, general partner or managing member of pooled investment vehicles

Affiliates

3 broker-dealers, 21 investment advisers

Form ADV Item 11 disclosures

The firm answered yes to the following Item 11 questions. The answers cover the firm and its advisory affiliates; the Disclosure Reporting Pages on IAPD identify the subject and the outcome.

• felony conviction (firm or advisory affiliate) (Item 11A(1), 2 reported)
• felony charge pending (Item 11A(2))
• SEC or CFTC finding of a false statement or omission (Item 11C(1))
• SEC or CFTC finding of a violation of regulations or statutes (Item 11C(2), 6 reported)
• SEC or CFTC order against the firm or an affiliate (Item 11C(4), 5 reported)
• SEC or CFTC civil money penalty or cease-and-desist (Item 11C(5), 5 reported)
• other regulator finding of a false statement or omission (Item 11D(1))
• other regulator finding of a violation (Item 11D(2), 15 reported)
• other regulator order, denial, suspension or revocation (Item 11D(4), 4 reported)
• other regulator restriction on activities (Item 11D(5))
• self-regulatory organization finding of a violation (Item 11E(2))
• civil court dismissal of a case with a settlement (Item 11H(1)(c))
• civil proceeding pending (Item 11H(2))