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Chief Compliance Officer · UOB Global Capital LLC

Howard C. Berkenfeld

CRD 1932766 · Named on Form ADV at one SEC-registered adviser

At a glance

UOB Global Capital LLC, an SEC-registered private fund adviser based in New York, NY with $97 million in regulatory assets, lists Howard C. Berkenfeld on its Form ADV as Chief Compliance Officer, a control person.

Firms and roles

  • UOB Global Capital LLCChief Compliance OfficerPrivate fund adviser · New York, NY · $97M in regulatory assets

AtlasMembers

Howard’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Howard’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.