Uboc Investment Services, Inc. (Los Angeles)

Uboc Investment Services, Inc. is an adviser based in Los Angeles. It manages $13.71 million of regulatory assets for 101 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Oregon, and Washington.


Uboc Investment Services, Inc. is an adviser based in Los Angeles. It manages $13.71 million of regulatory assets for 101 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of California, Oregon, and Washington.

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Uboc Investment Services provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Uboc Investment Services: assets under management

The assets under management (AUM) of Uboc Investment Services, Inc. is $13.71 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -79% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $13.71 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $135.7 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Uboc Investment Services, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Uboc Investment Services, Inc.

Kenneth Lepore has been acting as President since 1 Jan 2000. Robert Charles Dawson joined the executive team most recently as the Director.

Direct owners and executive officers



Indirect Owners

The SEC currently registers 2 indirect owners.

Based in Los Angeles

The principal office where Uboc Investment Services, Inc. performs its advisory services is located at 445 S. Figueroa Street, 2 Nd Floor, Los Angeles, CA 90071, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 213-236-7884 or by fax 213-236-7332. The normal business hours are 6:00 am - 4:00 pm on Monday - Friday. You can find more information about the New York firm at www.uboc.com.

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