# UBS Securities LLC: fundraiser

> UBS Securities LLC placed 17 company rounds filed with the SEC, most recently Nov 2025. Who they placed, by sector and size.

Source: https://millionrounds.com/providers/ubs-securities-llc (Millionrounds; every figure on the page links to its filing or article)

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# UBS Securities LLC

FINRA 7654 · placing rounds since Jan 2016

**17** company rounds placed

**2** in the last two years, last Nov 2025

**$3.2B** sold 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.

**1** 23Q2 **1** 23Q3 **1** 24Q1 **1** 24Q2 **1** 25Q3 **1** 25Q4

## What they place

- Biotechnology **26%**
- Other Health Care **16%**
- Other **16%**
- Investing **16%**
- Other Energy **11%**
- Other Banking and Financial Services **11%**
- Other Technology **5%**

## How big the rounds are

- Under $1M **0**
- $1M to $5M **0**
- $5M to $20M **2**
- $20M to $100M **10**
- $100M+ **8**

## Where the companies are

**NY** 5 **CA** 5 **MA** 3 **FL** 2 **UT** 1 **CO** 1 **MD** 1 **NJ** 1

## Rounds they placed

[Company rounds](https://millionrounds.com/providers/ubs-securities-llc)[Everything, funds and real estate too](https://millionrounds.com/providers/ubs-securities-llc?show=all)

Filed Issuer Industry Sold

Nov 2025 Galecto, Inc. Biotechnology **$285M**

Aug 2025 SAB Biotherapeutics, Inc. Biotechnology **$175M**

Jun 2024 Pershing Square Holdco, L.P. Investing **$856M**

Mar 2024 Applied Therapeutics, Inc. Biotechnology **$100M**

Aug 2023 iSchemaView, Inc. Agents: UBS Securities LLC Other Health Care **$75M**

May 2023 Applied Therapeutics Inc. Biotechnology **$30M**

Aug 2022 Celsius Holdings, Inc. Other **$550M**

Oct 2021 Robotic Research OpCo, LLC Other **$92M**

Oct 2021 Ares PBN Holdings Cayman L.P. Investing **$50M**

Oct 2021 Ares PBN Finance Co. LLC Investing **$364M**

Mar 2020 American Well Corp Other Health Care **$60M**

Nov 2019 Applied Therapeutics Inc. Agents: N/A Biotechnology **$20M**

Jun 2018 American Well Corp Other Health Care **$291M**

Oct 2017 Wheels Up Partners Holdings LLC Agents: UBS Securities LLC Other Travel **$117M**

Apr 2017 Domo, Inc. Other Technology **$100M**

Oct 2016 Eos Energy Storage LLC Other Energy **$22M**

Aug 2016 Fantex, Inc. Other **$59M**

Jul 2015 China Risk Finance LLC Other Banking and Financial Services **$5.0M**

Apr 2014 Cool Planet Energy Systems, Inc. Agents: UBS Securities LLC Other Energy **$72M**

Jan 2012 Progreso 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 LLC** 4 rounds together](https://millionrounds.com/providers/leerink-partners-llc)[**Jefferies LLC** 3 rounds together](https://millionrounds.com/providers/jefferies-llc-2)[**Morgan Stanley** 2 rounds together](https://millionrounds.com/providers/morgan-stanley-and-co-llc)[**Ares Management Capital Markets LLC** 2 rounds together](https://millionrounds.com/providers/ares-management-capital-markets-llc)[**CIM Securities, LLC** 1 round together](https://millionrounds.com/providers/cim-securities-llc)[**BOFA Securities, Inc.** 1 round together](https://millionrounds.com/providers/bofa-securities-inc)

## Founders who worked with them

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