AdvisorCensus / Financial advisors / New York / New York / Ulysses Management LLC
Ulysses Management LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2012, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 13, 2026.
Quick answers
From the filingHow is Ulysses Management LLC compensated?
On its Form ADV (Item 5.E, October 2026), Ulysses Management LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.
Where is Ulysses Management LLC located?
Ulysses Management LLC's principal office is in New York, NY, according to its Form ADV.
Is Ulysses Management LLC registered with the SEC or a state?
Ulysses Management LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 157251.
How much does Ulysses Management LLC manage?
Ulysses Management LLC reports $1,421,644,806 in regulatory assets under management in its Form ADV filing dated March 13, 2026 (100% discretionary).
How have Ulysses Management LLC's assets and staff changed since 2021?
In the Form ADV data for Ulysses Management LLC: Regulatory assets under management: $1,872,360,004 in the October 2021 data and $1,421,644,806 in the October 2026 data, down 24%. Total employees: 26 in October 2021 and 23 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Ulysses Management LLC serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3); other (1).
Does Ulysses Management LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/157251
What changed in Ulysses Management LLC's recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 9 to 8.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Performance-based fees
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 13, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$1,421,644,806 as of October 2026, filing dated March 13, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for pooled investment vehicles (other than investment companies)
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2012 (14 years)
- Employees
- Total: 23. Performing investment advisory functions: 8.
- Wrap fee program participation
- No.
- States registered or notice-filed
- Not reported.
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $1,421,644,806 | 23 | March 13, 2026 |
| October 2025 | $1,543,668,622 | 24 | March 7, 2025 |
| October 2024 | $1,593,272,708 | 24 | March 29, 2024 |
| October 2023 | $1,553,305,738 | 24 | March 28, 2023 |
| October 2022 | $1,892,436,098 | 24 | March 29, 2022 |
| October 2021 | $1,872,360,004 | 26 | March 24, 2021 |
Regulatory assets under management: $1,872,360,004 in the October 2021 data and $1,421,644,806 in the October 2026 data, down 24%.
Total employees: 26 in October 2021 and 23 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Employees performing advisory functions went from 9 to 8.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Ulysses Management LLC (CRD 157251): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/ulysses-management-llc-new-york-ny-157251