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U.S Trust Company, National Association (Stamford)


U.S Trust Company, National Association is a large advisory firm based in Stamford. It manages $11.66 billion of regulatory assets for 22 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Connecticut.

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U.S Trust Company, National Association provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

U.S Trust Company, National Association: assets under management

The assets under management (AUM) of U.S Trust Company, National Association is $11.66 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 21756% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $11.66 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $529.94 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay U.S Trust Company, National Association for their services and products based on a percentage of assets under management and performance-based fees. 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 U.S Trust Company, National Association

Timothy John Leach has been acting as President since 1 Nov 2005. Robert Francis Aufenanger joined the executive team most recently as the President And Director.

Direct owners and executive officers



Name Entity Date acquired Ownership Employer ID
U.S. Trust Corporation 100% owner 1 Jun 1991 75% - 100% 13-3818952
Kenneth Joseph Mcalley Executive vice president 1 Jun 1991 Other 602928
David John Williams Managing director 1 Mar 1995 Other 2519860
Gregory Franklin Sanford President & ceo, us trust, na 1 Mar 1996 Other 1024750
William Van Ferdinand Managing director 1 Jul 1996 Other 1537743
Lois Gray Ingham Managing director 1 Mar 1999 Other 2693433
Brian Francis Schmidt Senior vice president 1 Mar 1999 Other 2519649
The Charles Schwab Corporation Parent company of u.s. trust corporation 1 May 2000 75% - 100% 94-3025021
Douglas Alan Lindgren Managing director 1 Jan 2001 Other 4398555
Katherine Therese Ellis Managing director 1 Mar 2001 Other 2519959
Douglas Hildreth Pyle Managing director 1 Apr 2001 Other 1789404
Sharon Maurine Davison Director of securities compliance for u.s. trust corporation subsidiaries 1 Sep 2001 Other 1367871
Stephen Craig Hassenfelt Chief operating officer for investments for u.s. trust corporation subsidiaries 1 Dec 2001 Other 4372267
Stephen Craig Hassenfelt Executive vice president & chief operating officer for u.s. trust corporation investments 1 May 2002 Other 4372267
James Lee Bailey Executive vice president, u.s. trust corporation 1 Jan 2003 Other 4650508
James L Bailey Executive vice president, u.s. trust corporation 1 Jan 2003 Other 4650508
Craig Lee Walling Ceo, president and director 1 Feb 2003 Other 4613175
Gregory Franklin Sanford Regional chief executive officer-west coast 1 Jul 2003 Other 1024750
Timothy John Leach Executive vice president and chief investment officer 1 May 2004 Other 2494692
Sharon Maurine Davison Sr vp & chief compliance offcer of the excelsior funds & u.s. trust advisers 1 Oct 2004 Other 1367871
James Lee Bailey Executive vice president & chief operating officer 1 Dec 2004 Other 4650508
Sharon Maurine Davison Svp & cco, excelsior funds & u.s. trust company naamd 1 May 2005 Other 1367871
Leo P. Grohowski Executive vice president and chief investment officer 1 Oct 2005 Other 4359380
National Association U.S. Trust Company 100% owner 1 Nov 2005 75% - 100% 95-4311476
Timothy John Leach Director 1 Nov 2005 Other 2494692
Jeffrey Thomas Osmun Director 1 Nov 2005 Other 2906258
Olga Jonas Sanchez Secretary and general counsel 1 Nov 2005 Other 4006514
Stefanie Aimee Firtell Chief compliance officer 1 Nov 2005 Other 5064918
Robert Francis Aufenanger President and director 1 Dec 2005 Other 3212167
Neil Mcdonnell Chief financial officer and treasurer 1 Dec 2005 Other 5075286

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
U.S. Trust Corporation Parent company of u.s. trust company, national association 1 Mar 1991 75% - 100% 13-3818952

Based in Stamford

The principal office where U.S Trust Company, National Association performs its advisory services is located at 225 High Ridge Road, Stamford, CT 06905, which is also the mailing address of the firm. An additional office of the firm is in Wayne, PA. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 203-352-4400 or by fax 203-352-4488. The normal business hours are 9am to 5pm on Monday - Friday. You can find more information about the New York firm at www.ustrust.com.


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