UIS Investment Management LLC

UIS provides discretionary asset management to individual and high-net-worth clients, offering investment selection, asset allocation, and ongoing portfolio monitoring tailored to documented client goals and risk tolerance. The firm reports approximately $6 million in non‑regulatory assets under management, no regulatory AUM, and does not impose an account minimum.

Investment decisions are made on a discretionary basis using a combination of fundamental, technical, charting and sentiment analysis, with strategies that can include long‑term and short‑term holdings, trading, option writing, and use of derivatives and leverage; accounts are reviewed at least quarterly with attention to rebalancing and tax‑loss harvesting. The firm selects brokers based on execution quality and cost, does not permit directed brokerage, and manages accounts separately rather than aggregating trades.

Distinctive aspects include its solo‑practitioner structure with a principal who brings an advanced technical degree and prior corporate management experience to the investment process, and a relatively small asset base reported as non‑regulatory AUM. The firm does not sponsor wrap fee programs, does not receive external compensation or client referral fees, does not vote client proxies (clients receive proxies directly), and generally requires discretionary authority while limiting client‑imposed account restrictions.