Tom H Warren

US Patent:

7685057, Mar 23, 2010

Filed:

Apr 11, 2007

Appl. No.:

11/783690

Inventors:

Allan T. Chiulli - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US

Assignee:

UAT, Inc. - Englewood CO

International Classification:

G06Q 40/00

US Classification:

705 37, 705 38

Abstract:

An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.

US Patent:

7809632, Oct 5, 2010

Filed:

Oct 22, 2008

Appl. No.:

12/256196

Inventors:

Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US

Assignee:

UAT, Inc. - Englewood CO

International Classification:

G06Q 40/00

US Classification:

705 37, 705 38

Abstract:

An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

US Patent:

7831503, Nov 9, 2010

Filed:

Jun 16, 2008

Appl. No.:

12/140047

Inventors:

Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US

Assignee:

UAT, Inc. - Englewood CO

International Classification:

G06Q 40/00

US Classification:

705 37, 705 38

Abstract:

An embodiment of the present invention provides a system and method for minimizing the total expected execution cost of securities trades through a real-time analysis and optimization process incorporating: (1) the currently offered share price and liquidity in the securities markets; (2) execution costs as input in real-time by executing brokers; (3) expected price improvement based on current and recent trading data; (4) time required to execute an order by an executing broker; and (5) the current rate of change in the share price of a security during the time required to execute the transaction. Based on these factors, the invention ranks, in dollars and cents per shares, brokers from lowest to highest expected total execution cost. The initiating party to the securities transaction can route the order(s) to the executing brokers with the lowest expected total execution costs to minimize the total execution cost.

US Patent:

7856396, Dec 21, 2010

Filed:

Aug 3, 2010

Appl. No.:

12/849032

Inventors:

Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US

Assignee:

UAT, Inc. - Englewood CO

International Classification:

G06Q 40/00

US Classification:

705 37, 705 38

Abstract:

An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

US Patent:

7912783, Mar 22, 2011

Filed:

Feb 4, 2010

Appl. No.:

12/700218

Inventors:

Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US

Assignee:

UAT, Inc. - Englewood CO

International Classification:

G06Q 40/00

US Classification:

705 37, 705 38

Abstract:

An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.

US Patent:

8078522, Dec 13, 2011

Filed:

Mar 6, 2008

Appl. No.:

12/043687

Inventors:

Allan T. Chiulli - Greenwood Village CO, US
Tom H. Warren - Greenwood Village CO, US

Assignee:

UAT, Inc. - Engelwood CO

International Classification:

G06Q 40/00

US Classification:

705 37, 705 35

Abstract:

An embodiment of the present invention provides a system and method for creating an electronic marketplace, utilizing an electronic non-currency unit of exchange, that provides for and facilitates the cost effective exchange of institutional research and trade order execution services between asset management firms and executing brokers in such manner as to substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in mutual funds and other investment portfolios.

US Patent:

8121935, Feb 21, 2012

Filed:

Nov 3, 2010

Appl. No.:

12/938694

Inventors:

Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US

Assignee:

UAT, Inc. - Englewood CO

International Classification:

G06Q 40/00

US Classification:

705 37, 705 38

Abstract:

An embodiment of the present invention provides a system and method for a sponsoring organization to: (1) utilize a rules-based computer system to capture trade orders from sub-advisors (money management firms) in order to implement a pre trade compliance review process, thereby enabling the sponsoring organization to prevent the execution of trade orders by a sub advisor that violates securities laws and/or account restrictions; and (2) determine and assign, based on expected market impact of a trade order to buy or sell securities, whether responsibility (discretion over the decisions related to how, when and with whom a trade order is executed) for executing the trade order is assigned to the money management firm for an investment portfolio or to the sponsoring organization of that portfolio. Trade orders are categorized in real-time as “high touch” (significant effort and market impact) or “low touch” (insignificant effort and market impact).

US Patent:

8180699, May 15, 2012

Filed:

Feb 3, 2011

Appl. No.:

13/020121

Inventors:

Allan T. Chiulli - Highlands Ranch CO, US
Tom H. Warren - Greenwood Village CO, US

Assignee:

UAT, Inc. - Englewood CO

International Classification:

G06Q 40/00

US Classification:

705 37, 705 38

Abstract:

An embodiment of the present invention provides a system, method, process, software and standards that enable a unified trading and control process utilized by sponsoring organizations and asset managers (money managers) for sub advised or externally managed investment portfolios as to increase control over the trading process by a sponsoring organization, enhance regulatory compliance, substantially lower trading costs and improve investment performance on a recurring basis for the shareholders and beneficiaries investing in registered and non registered mutual funds and institutional investment portfolios.

Address:

7264 S Kellerman Way, Aurora, CO 80016

Phone:

(303)5269762

VIN:

5NPEU46F97H253358

Make:

HYUNDAI

Model:

SONATA

Year:

2007