Fundraisers / UBS Securities LLC

FundraiserRegistered broker-dealer

UBS Securities LLC

FINRA 7654 · placing rounds since Jan 2016

17company rounds placed
2in the last two years, last Nov 2025
$3.2Bsold in the rounds they placed
2.6%typical commission; the median firm takes 4.9%

Named on 219 Form D filings as paid to sell the offering: 17 for operating companies, 196 for funds, 6 for real estate. 1 registered agent named.

Quarter by quarter

Company rounds they placed in each quarter, from the filings.

123Q2123Q3124Q1124Q2125Q3125Q4

What they place

19rounds
  • Biotechnology26%
  • Other Health Care16%
  • Other16%
  • Investing16%
  • Other Energy11%
  • Other Banking and Financial Services11%
  • Other Technology5%

How big the rounds are

  1. Under $1M0
  2. $1M to $5M0
  3. $5M to $20M2
  4. $20M to $100M10
  5. $100M+8

Where the companies are

NY5CA5MA3FL2UT1CO1MD1NJ1

Rounds they placed

Company roundsEverything, funds and real estate too

FiledIssuerIndustrySold
Nov 2025Galecto, Inc.Biotechnology$285M
Aug 2025SAB Biotherapeutics, Inc.Biotechnology$175M
Jun 2024Pershing Square Holdco, L.P.Investing$856M
Mar 2024Applied Therapeutics, Inc.Biotechnology$100M
Aug 2023iSchemaView, Inc.Agents: UBS Securities LLCOther Health Care$75M
May 2023Applied Therapeutics Inc.Biotechnology$30M
Aug 2022Celsius Holdings, Inc.Other$550M
Oct 2021Robotic Research OpCo, LLCOther$92M
Oct 2021Ares PBN Holdings Cayman L.P.Investing$50M
Oct 2021Ares PBN Finance Co. LLCInvesting$364M
Mar 2020American Well CorpOther Health Care$60M
Nov 2019Applied Therapeutics Inc.Agents: N/ABiotechnology$20M
Jun 2018American Well CorpOther Health Care$291M
Oct 2017Wheels Up Partners Holdings LLCAgents: UBS Securities LLCOther Travel$117M
Apr 2017Domo, Inc.Other Technology$100M
Oct 2016Eos Energy Storage LLCOther Energy$22M
Aug 2016Fantex, Inc.Other$59M
Jul 2015China Risk Finance LLCOther Banking and Financial Services$5.0M
Apr 2014Cool Planet Energy Systems, Inc.Agents: UBS Securities LLCOther Energy$72M
Jan 2012Progreso Financiero Holdings, Inc.Other Banking and Financial Services$18M

From the SEC's Form D data sets: the issuer named this firm as paid to sell the offering. The latest 40 shown.

Often on the same rounds

Other fundraisers named on the same filings: the firms they syndicate with.

Leerink Partners LLC4 rounds togetherJefferies LLC3 rounds togetherMorgan Stanley2 rounds togetherAres Management Capital Markets LLC2 rounds togetherCIM Securities, LLC1 round togetherBOFA Securities, Inc.1 round together

Founders who worked with them

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Marked verified when your company is one of the rounds they placed.

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