Uboc Investment Services, Inc. (Los Angeles)

Name: Uboc Investment Services, Inc.
Address: 445 S. Figueroa Street, 2 Nd Floor, Los Angeles, CA, 90071
Telephone: 213-236-7884

Uboc Investment Services, Inc. is an adviser based in Los Angeles. It manages $13.71 million of regulatory assets for 101 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Oregon, and Washington.

Uboc Investment Services provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Uboc Investment Services: assets under management

The assets under management (AUM) of Uboc Investment Services, Inc. is $13.71 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -79% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $13.71 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $135.7 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Uboc Investment Services, Inc. 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.

Careers at Uboc Investment Services, Inc.

Kenneth Lepore has been acting as President since 1 Jan 2000. Robert Charles Dawson joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Katsuyoshi Hamahashi	Director	1 Feb 1993	Other	xxx-xx-xxxx
N.A. Union Bank Of California	100% owner of applicant	1 Apr 1996	75% - 100%	94-1234979
Joan Ellen Fields	Vp/regional investment manager	1 Apr 1996	Other	1211282
Jonathon James Allen	Vp/regional investment manager	1 Apr 1996	Other	2329509
Timothy Durand Wadley	Vp/regional investment mgr	1 Apr 1996	Other	1570290
Honoria Freeman Vivell	Director	1 Jan 1997	Other	4171334
Peiter (Iii) Westerbeek	Director	1 Apr 1999	Other	3255147
John Cass Erickson	Director	1 Dec 1999	Other	4174013
Terry Chambless	Director/svp - sales management	1 Dec 1999	Other	1967928
Kenneth Lepore	President	1 Jan 2000	Other	1356913
Milan Konkol	Cco/cfo	1 Mar 2000	Other	2476590
Ronald Howard Kendrick	Director	1 Apr 2000	Other	1467809
Robert Charles Dawson	Director	1 Apr 2002	Other	xxx-xx-xxxx
Jonathan Alan Wright	Vice president/secretary	1 Apr 2002	Other	xxx-xx-xxxx
Irene Pe Briones	Vice president	1 Apr 2002	Other	2173064

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Unionbancal Corporation	Parent company	1 Apr 1996	75% - 100%	94-1234979
Ltd. Bank Of Tokyo Mitsubishi	Parent company of parent company	1 Apr 1996	75% - 100%	14455

Based in Los Angeles

The principal office where Uboc Investment Services, Inc. performs its advisory services is located at 445 S. Figueroa Street, 2 Nd Floor, Los Angeles, CA 90071, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 213-236-7884 or by fax 213-236-7332. The normal business hours are 6:00 am - 4:00 pm on Monday - Friday. You can find more information about the New York firm at www.uboc.com.