Adam Stuart Rosenthal

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2008 → Present
  Ubs Financial Services Inc
  New York, NY

Previous Registrations

• 2005-05-02 → 2008-10-02
  Lehman Brothers Inc.
  New York, NY
  New York, NY
  New York, NY

Other Businesses

1) NEW RENNAISANCE BASKETBALL; 261 5th Ave, 2nd Floor, New York, NY 10016; will be a board member; Member of Board of directors; no duties just a board member; 11/1/2015; Business hours per month: No // KAL 1, LLC; New York; Real Estate Investment Partnership; Other; Vice President; 10/14/2008; Business hours per month: Yes // 2) RODEPH SHOLOM; 168 West 79th St, New York, NY 10024; will chair the school's investment committee; Other; chairperson of the school's investment committee; chair investment committee of investment committee members; 1/1/2019 3) NAME OF OTHER BUSINESS: Exempt Trust B under the 2011 M.E.C. Descendants Trust / INVESTMENT RELATED?: No / ADDRESS: Austin Texas US/ POSITION:I will act as Trustee but I am not the investment advisor per the Trust document/ DUTIES:Act as Trustee but not investment advisor per the trust document/ START DATE: 9/9/2019 4) NAME OF OTHER BUSINESS: P.A.C. 2006 Descendants Trust Exempt Trust B/ INVESTMENT RELATED?: No / ADDRESS: Austin Texas US/ NATURE OF THE BUSINESS:the entity is a descendants trust that will make investments and I am acting as trustee whereas the grantor has sole investment authority and holds me, as trustee, harmless per the trust document / POSITION:Act as trustee but not the investment advisor as the grantor has this sole authority per the trust document /START DATE: 11/1/2020. 5) M.E.C. 2011 Descendants Non-Exempt Trust C/ Austin, Texas, 78701 US/ Act as trustee but not the investment advisor as the grantor has this sole authority per the trust document/ the entity is a descendants trust that will make investments and I am acting as trustee whereas the grantor has sole investment authority and holds me, as trustee, harmless per the trust document/ start date: 6/18/2021 6) B.R. Family Insurance Trust / Investment Related - No / 3217 Farmington DriveChevy ChaseMarylandUSA20815 / Trustee of Life Insurance Trust / I would act as Trustee over insurance trust that holds 2 insurance policies there is no trading in this account / Start Date: 12/30/2016 7) W Life Insurance Trust / Investment Related - No / 12 Sabine RoadSyossetNYUSA11791 / act as a trustee over life insurance trust / trustee of UBS approved trust / Start Date: 7/6/2010 8) Name of Business: The SMB Trust./ Address: 103 Lake DriveRehoboth BeachDE United States19971./ Nature: trustee, this is a entity generation skipping trust, i am the trustee for the insurance trust, it will be under the rep code y1vb that i am not compensated for./Investment Related: Yes./ Duty/Role: give trustee advice./ Start Date: 1/23/2024./ Time Required: N/A. 9) P.A.C. 2006 Descendants Trust Non-Exempt Trust C, the entity is a descendants trust that will make investments and I am acting as trustee whereas the grantor has sole investment authority and holds me, as trustee, harmless per the trust document, Act as trustee but not the investment advisor as the grantor has this sole authority per the trust document, start date-6/18/2021, AustinTexasUnited States-78701. 10) Name of Business-University of Texas, BBA Advisory Board / Address- Austin, TX 78712 / Investment Related- YES 20% / Nature- advise the dean of the undergraduate business school at University of Texas / Role-member of the investment board / Duty-advise the dean of the undergraduate business school / Start Date-3/12/2024 / Time Required- No 11) E.W. 2020 Spousal Acccess Trust FBO K.W., estate planning trust for K.W. and his descendants, act with co-trustee (his wife) in making any income or principal disbersments, Start date-12/15/2020, New YorkUnited States-11791.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-11-04
• S63 Uniform Securities Agent State Law Examination
  1992-10-05

Other Names

• Adam Stuart Rosenthal
• Adam Rosenthal