Uas Asset Management
Registered investment adviser · New York, NY · CRD #21274
Form ADV data as of 2026-09-01Regulatory assets
$493.0 million
Total accounts
363
Employees
6
Disclosure events
0
Firm details
- Website: https://www.uasam.com
- Telephone: 212-983-5822
- SEC file number: 801-32004
- Most recent Form ADV filing: 2026-05-19
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $483.8 million |
| Non-discretionary regulatory assets under management | $9.2 million |
| Total regulatory assets under management | $493.0 million |
| Discretionary accounts | 358 |
| Non-discretionary accounts | 5 |
| Total accounts | 363 |
| Regulatory assets under management attributable to non-U.S. persons | $35.9 million |
People
| Total employees (excluding clerical) | 6 |
| Employees performing investment advisory functions (including research) | 5 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 5 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $92.4 million |
| Clients for whom the firm has custody | 1 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $9.2 million |
| Clients for whom a related person has custody | 1 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 182 | $46.1 million |
| High net worth individuals | 160 | $263.0 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 1 | $92.4 million |
| Pension and profit sharing plans (not the participants or government plans) | 8 | $12.1 million |
| Charitable organizations | 5 | $30.4 million |
| State or municipal government entities (including government pension plans) | Not reported | $12.8 million |
| Corporations or other businesses not listed above | 5 | $36.1 million |
| Other | Not reported | $246,257 |