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Investment Adviser Firm Summary

UBS ASSET MANAGEMENT (AMERICAS) INC. (CRD# 106838 / SEC# 801-34910)
Alternate Names: BRINSON PARTNERS , BRINSON PARTNERS, INC , DSI INTERNATIONAL MANAGEMENT, INC. , UBS ASSET MANAGEMENT , UBS ASSET MANAGEMENT (AMERICAS) INC. , UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC. , UBS GLOBAL ASSET MANAGEMENT (US)INC. , UBS GLOBAL ASSET MANAGEMENT(NEW YORK) INC. , UBS GROWTH INVESTORS , UBS SUSTAINABLE INVESTORS , UBS TIMBER INVESTORS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/11/1989

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 06/27/2001
Alaska 06/29/2001
Arizona 06/27/2001
Arkansas 06/29/2001
California 06/27/2001
Colorado 06/27/2001
Connecticut 06/27/2001
Delaware 07/21/2003
District of Columbia 06/27/2001
Florida 06/27/2001
Georgia 06/27/2001
Hawaii 06/27/2001
Idaho 06/27/2001
Illinois 02/09/2000
Indiana 06/27/2001
Iowa 06/27/2001
Kansas 06/27/2001
Kentucky 06/27/2001
Louisiana 06/27/2001
Maine 06/27/2001
Maryland 06/27/2001
Massachusetts 06/27/2001
Michigan 06/27/2001
Minnesota 06/27/2001
Mississippi 06/27/2001
Missouri 06/27/2001
Montana 06/27/2001
Nebraska 06/27/2001
Nevada 06/27/2001
New Hampshire 06/27/2001
New Jersey 07/27/2001
New Mexico 06/27/2001
New York 06/27/2001
North Carolina 06/27/2001
North Dakota 06/27/2001
Ohio 06/27/2001
Oklahoma 08/21/2001
Oregon 06/27/2001
Pennsylvania 06/27/2001
Puerto Rico 06/27/2001
Rhode Island 06/27/2001
South Carolina 06/27/2001
South Dakota 06/27/2001
Tennessee 09/17/2001
Texas 06/27/2001
Utah 06/28/2001
Vermont 06/27/2001
Virginia 06/27/2001
Washington 06/27/2001
West Virginia 06/27/2001
Wisconsin 06/27/2001

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser