Ulysses Management LLC (New York)

Name: Ulysses Management LLC
Address: One Rockefeller Plaza, New York, NY, 10020
Telephone: 212-455-6200

Ulysses Management LLC is a large advisory firm based in New York. It manages $1.48 billion of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2012.

Ulysses Management provides portfolio management for pooled investment vehicles and portfolio management for family private foundation. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ulysses Management: assets under management

The assets under management (AUM) of Ulysses Management LLC is $1.48 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 11% since the beginning of its operation, and $112.04 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.48 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $295.62 million each.

Ulysses Management has custody of $1.47 billion in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in pooled investment vehicles the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ulysses Management LLC for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Joshua Nash serves?

The only and largest group of clients of Joshua Nash is pooled investment vehicles with 4 clients and $1.47 billion of assets under management. Among the 10 most similar advisory firms, Ulysses Management has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.47 billion for 4 clients. 20% of the firm’s clients are foreign persons or businesses.

Ulysses Management also advises several private funds. Namely, two hedge funds and one private equity fund.

Careers at Ulysses Management LLC

The company employs 26 people that are either part- or full-time employees. 38 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.

Joshua Nash has been acting as President since 1 Jun 1997. Vincent Ognibene joined the executive team most recently as the Cfo.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Joshua Nash	President	1 Jun 1997	75% - 100%	2084121
Eric Squire	Cfo	1 Apr 2001	Other	1895392
Eric Squire	Cco	1 Jan 2012	Other	1895392
Richard I Ellenbogen	Cco	1 Jul 2015	Other	4332073
Vincent Ognibene	Cfo	1 Jan 2018	Other	6897480
Joshua Nash Llc	Member	1 Jan 2018	75% - 100%	00-0000000

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Joshua Nash	Member	1 Jan 2018	75% - 100%	2084121

Based in New York

The principal office where Ulysses Management LLC performs its advisory services is located at One Rockefeller Plaza, New York, NY 10020, 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 212-455-6200 or by fax 212-455-6286. The normal business hours are 9-5 on Monday - Friday. You can find more information about the New York firm at ulyssesmgmt.com.