{ "crd_number": 107754, "slug": "ubs-farmland-investors-llc-hartford-ct-107754", "primary_business_name": "UBS FARMLAND INVESTORS LLC", "legal_name": "UBS FARMLAND INVESTORS LLC", "dbas": [ "UBS ASSET MANAGEMENT, REAL ESTATE - US, FARMLAND; GLOBAL REAL ASSETS (GRA); FOOD & AGRICULTURE (FOOD & AGG)" ], "city": "Hartford", "state": "CT", "country": "United States", "cbsa_code": "25540", "metro": { "cbsa_code": "25540", "common_name": "Hartford", "msa_name": "Hartford-West Hartford-East Hartford, CT", "path": "/advisors/ct/hartford" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1997-02-05", "years_registered": 29, "period": "2026-10-01", "filing_date": "2026-07-12", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 10, "advisory_employees": 6, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 12, "states_registered": [ "CT" ], "websites": [ "https://ubs.com/US/EN/ASSETMANAGEMENT/INSIGHTS/ASSET-CLASS-PERSPECTIVES/REAL-ESTATE/REAL-ASSETS-INSIGHTS.HTML", "https://ubs.com/US/EN/REAL-ESTATE.HTML" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107754", "disclosure_items": [ { "item": "11.A(1)", "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?" }, { "item": "11.A(2)", "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?" }, { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.D(5)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" }, { "item": "11.H(1)(c)", "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?" }, { "item": "11.H(2)", "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?" } ], "city_as_filed": "HARTFORD", "url": "https://advisorcensus.com/firm/ubs-farmland-investors-llc-hartford-ct-107754", "display_name": "UBS Farmland Investors LLC", "summary": "UBS Farmland Investors LLC is an SEC-registered investment advisory firm in Hartford, CT, registered since 1997, with no regulatory assets under management reported in its Form ADV filing dated July 12, 2026.", "citation": "AdvisorCensus. UBS Farmland Investors LLC (CRD 107754): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is UBS Farmland Investors LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), UBS Farmland Investors LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is UBS Farmland Investors LLC located?", "a": "UBS Farmland Investors LLC's principal office is in Hartford, CT, according to its Form ADV." }, { "q": "Is UBS Farmland Investors LLC registered with the SEC or a state?", "a": "UBS Farmland Investors LLC is an SEC-registered investment advisory firm, registered since 1997. Status as filed: Approved. CRD 107754." }, { "q": "How have UBS Farmland Investors LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for UBS Farmland Investors LLC: Total employees: 8 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Does UBS Farmland Investors LLC report any disciplinary disclosures?", "a": "Reports 12 disclosure items on Form ADV Item 11: yes answers to 2 questions about criminal matters, 8 questions about regulatory matters, and 2 questions about civil court matters (11.A(1), 11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4), 11.D(5), 11.E(2), 11.H(1)(c), 11.H(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107754" }, { "q": "What changed in UBS Farmland Investors LLC's recent Form ADV filings?", "a": "In the August 2026 filing data: Item 11 disclosure answers changed: 12 yes answers, previously 16 (now no: 11.D(1), 11.E(1), 11.G, 11.H(1)(a))." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": 8, "filing_date": "2021-09-09" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": 11, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": 11, "filing_date": "2023-07-11" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": 12, "filing_date": "2024-07-25" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": 12, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": 10, "filing_date": "2026-07-12" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Item 11 disclosure answers changed: 12 yes answers, previously 16 (now no: 11.D(1), 11.E(1), 11.G, 11.H(1)(a))." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 7 to 6.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/ubs-farmland-investors-llc-hartford-ct-107754.md", "clients": [], "disclosure_line": "Reports 12 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/107754", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }