9AT: UNION SQUARE GLOBAL WEALTH MANAGEMENT

other names

UNION SQUARE GLOBAL WEALTH MANAGEMENT
UNION SQUARE INVESTMENT CO

Adviser Profile

As of Date	03/26/2025
ADV Location	SAN FRANCISCO, CA, United States
Adviser Type - Large advisory firm
Number of Employees	7 -13%
of those in investment advisory functions	6
Registration	SEC, Approved, 02/27/1998

AUM^*	357,053,816 -4%
of that, discretionary	353,616,819 -4%
Private Fund GAV^*	242,175,237 2%
Avg Account Size	13,732,839 -19%
% High Net Worth	62.50% 14%
SMA’s	Yes
Private Funds	3 2
Contact Info	415 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pooled investment vehicles
- Charitable organizations

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles
- Selection of other advisers
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Fund Type	Count	GAV
Fund TypeOther Private Fund	Count3	GAV$242,175,237

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser PIPER SANDLER ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM364.6m	#Funds-
Adviser BASTION MANAGEMENT II LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund703.7m	Total Private Fund GAV703.7m	AUM455.0m	#Funds6
Adviser HAVERFORD FINANCIAL SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM341.9m	#Funds-
Adviser BELL ASSET MANAGEMENT USA INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund383.1m	Total Private Fund GAV383.1m	AUM383.1m	#Funds2
Adviser RIVO ALTO CAPITAL FUNDING LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund27.6m	Total Private Fund GAV27.6m	AUM27.6m	#Funds4
Adviser FCA CORP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund42.0m	Total Private Fund GAV42.0m	AUM525.7m	#Funds1
Adviser COLLAB+CURRENCY MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund531.5m	Total Private Fund GAV531.5m	AUM552.7m	#Funds8
Adviser WEMBLEY STRATEGIC ADVISORY LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund27.6m	Total Private Fund GAV27.6m	AUM662.8m	#Funds9
Adviser BOLTHOUSE INVESTMENT MANAGEMENT SERVICES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund241.0m	Total Private Fund GAV241.0m	AUM544.8m	#Funds2
Adviser BUILDGROUP MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund426.1m	Total Private Fund GAV426.1m	AUM537.0m	#Funds4

Brochure Summary

Overview

Union Square Investment Company (“USQ”) was formed on February 9, 1998 to provide investment advisory and other professional services to clients. USQ is registered with the SEC as an investment adviser. USQ’s sole owner is a grantor trust of which Alexander Hamilton Schilling is the sole trustee. Union Square Global Wealth Management has been filed as USQ’s primary business name in March 2017. USQ is the investment adviser to private investment funds, in addition to individually managed accounts. USQ advises its clients regarding investments in mutual funds, exchange traded funds (ETFs), investment accounts managed by other professional investment advisers, and private investment funds, including hedge funds, venture funds and buyout funds. USQ provides advice about asset allocation and portfolio structure. USQ also advises its clients regarding cash management and recommends custodians. USQ generally does not advise its clients regarding the purchase and sale of individual securities, although it can do so on occasion if permitted under the terms of the investment management agreement with the client. As of December 31, 2023, USQ had total discretionary regulatory assets under management of approximately $351 million and total non-discretionary regulatory assets under management of approximately $3 million. For individually managed accounts, USQ tailors its services to the individual needs

of each account as follows:  Manages each such account based on the client’s financial situation and investment objectives and in accordance with any restrictions that the client imposes on managing the account.  At least annually, contacts each client (either in person or by telephone) to ask about any changes in the client’s financial situation or investment objectives and whether the client desires to impose or modify any restrictions on managing the account.  At least annually, USQ reviews with client any changes in the financial situation or investment objectives, or if the client desires to impose or modify any restrictions on managing the account. Separately from its investment advisory services, USQ provides accounting, cash planning and compliance and related services to individual clients, pursuant to professional services agreements. ERISA Accounts: Union Square Global Wealth Management is deemed to be a fiduciary to advisory clients that are employee benefit plans or individual retirement accounts (IRAs) pursuant to the Employee Retirement Income and Securities Act ("ERISA"), and regulations under the Internal Revenue Code of 1986 (the "Code"), respectively. As such, our firm is subject to specific duties and obligations under ERISA and the Internal Revenue Code that include among other things, restrictions concerning certain forms of compensation. Confidential Page 5

UNION SQUARE GLOBAL WEALTH MANAGEMENT

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