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About UAT

Joel Steinmetz, CEO and Partner

Joel Steinmetz has 27 years of experience in electronic trading and trading technology across a wide range of businesses and asset classes. Joel has built businesses, launched products and delivered solutions with tangible value for trading algorithms, risk management, compliance and reporting, investment analysis, event analytics, and low latency connectivity by combining innovative thinking, strategic planning, business development, trading technology development, and customer relations. Prior to joining UAT, Joel served as Managing Director/COO for Fluent Trade Technologies; Managing Director, Head of Equities for Citadel Securities; Head of US Sales and Trading for Liquidnet Holdings; Managing Director, Head of Execution Services at Citigroup; and Senior Vice President, Head of US Business Strategy and Global Product Strategy and Product Innovation at Instinet Corporation. Joel attended Queens College and New York Law School. He holds FINRA Series 7, 24, 63 and 99 licenses.

Andrew Brown, President, Head of Sales and Partner

Andrew Brown has 13 years of experience in execution services, commission management, institutional relationship management and business development. Andrew has a proven ability to build senior level client relationships, identify and influence key decision makers and drive the strategic direction of a global business. Andrew also provides a keen understanding of and expertise in issues relating to institutional commission usage; specifically as it relates to global regulatory regimes and the commercial factors that drive broker selection, research consumption and commission management. He has extensive experience interacting with asset managers, asset owners, broker dealers and pension consultants. Prior to joining UAT, Andrew was Head of Execution Services and Commission Management for Russell Investments. He earned an M.B.A. from Colorado State University and a B.A. from the University of Puget Sound and holds FINRA Series 7, 24 and 63 licenses.

David Collett, Partner, Chief Operating Officer, Chief Financial Officer and
Chief Compliance Officer

Mr. Collett serves as the UAT’s COO, CFO and CCO and oversees all day-to-day operational, administrative and financial activities of the firm. David brings over 30 years of experience in the financial services industry in both financial and operational roles in the buy-side, sell-side and financial technology sectors. Prior to joining UAT Mr. Collett served as Chief Financial Officer at LPL Financial, Jackson National Life Distribution, UNX LLC, and Signature Capital Advisors. He has also held management positions at Countrywide Financial, Franklin Templeton, Western Asset Management, Coopers & Lybrand and Signature Group Holdings. Mr. Collett earned a Bachelor of Science in Accounting and a Masters of Business Administration from Golden Gate University. He maintains an active CPA license. He also holds FINRA Series 6, 7, 24, 26, 27, 63 and 99.

Jim Buck, Partner and Managing Director

Jim Buck joins UAT as a Partner and Managing Director to follow up on his experience with senior level decision makers at both insurance companies and mutual funds. He is actively involved with these decision makers discussing emerging trends for optimizing sub-advised platforms. Prior to joining UAT, Jim’s most recent duties involved the marketing and sales of both transition management and commission recapture products to major financial institutions. He has past experience in corporate management, sales, sales management, marketing, new product development as well as domestic and international investment experience. Additionally, he has managed fixed income departments. Jim has a BS in Economics as well as an MBA in Finance from Fordham University. He holds FINRA Series 7, 16, 53, 24, 63 and 99.

Allan Chiulli, Founder and Managing Director, Marketing

Allan Chiulli has over 28 years of industry experience, including two prior successful start-up companies. Previous to his role with UAT, Mr. Chiulli served as Executive Vice President at Jackson National Life (JNL) Distributors. He was also Founding Officer and Executive Vice President of Curian Capital, Founding Officer of National Planning Corporation, and Senior Vice President of Marketing at National Planning Holdings, all JNL companies. In addition, Mr. Chiulli has been Vice President at FundMinder, Inc., Vice President in Correspondent Clearing at Wedbush Morgan Securities, Vice President at Financial Network Investment Corporation, and Vice President at Titan Value Equities Group, Inc. Mr. Chiulli graduated Phi Beta Kappa with a B.A. in Political Science and Economics and earned his M.S. in Geology from the University of North Carolina at Chapel Hill. He earned an M.B.A. in Finance from Cal State University at Long Beach. Mr. Chiulli holds FINRA Series 7, 24, 63 and 99.

Tom Warren, Founder and Managing Director, Market Research and Analytics

Tom Warren has over 31 years of experience in the financial services industry. Mr. Warren has broad experience in product development, marketing, and distribution on a domestic and international basis, as well as strong relationships among the top distributors in the financial services industry. In addition to his current role with UAT, Mr. Warren’s experience includes: Director at Janus Capital Corporation, where his leadership and talent were instrumental in raising $80 billion in investment assets, primarily from insurance companies offering sub-advised investment portfolios; Vice President at Fidelity, where he held a national position in the raising of $30 billion in investments assets from institutional investors, primarily from insurance companies offering sub-advised investment portfolios; and Vice President at Merrill Lynch, where he provided financial investment services to wealthy individuals, corporations, and institutions. Mr. Warren earned a B.S. in Business from Colorado State University and holds FINRA Series 7, 24, 63 and 99.

UNITED STATES PATENTS 7,786,057; 7,809,632; 7,831,503; 7,856,396; 7,912,783; 8,078,522;
8,121,935; 8,180,699; 8,285,634; 8,296,222; 8,396,786; 8,600,866; 8,600,867; 8,635,148 and
patents pending in the U.S.

Securities Offered Through UAT Resources LLC Member FINRA SIPC. © 2017 UAT Resources LLC