UBS ASSET MANAGEMENT (AMERICAS) LLC
Latest filing: Aug 27, 2024 (64 days ago)
AUM
$477,863,691,247
59% change vs. 1 year ago
78% change vs. 3 years ago
166% change vs. 5 years ago
203% change vs. 10 years ago
Employee Count
823
117% change vs. 1 year ago
116% change vs. 3 years ago
112% change vs. 5 years ago
59% change vs. 10 years ago
Main Office
NEW YORK, NY
787 7TH AVENUE, NEW YORK, NY, UNITED STATES, 10019
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $458.1 |
| Non-Discretionary | $19.8 |
| Total | $477.9 |
| Client | AUM |
|---|---|
| Retail | $158.5 |
| Pooled | $221.4 |
| Institutional | $97.9 |
| Total | $477.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 291,062 | $75.8 |
| Average Individual AUM | $260,448 | |
| HNW | 61,960 | $82.7 |
| Average HNW AUM | $1,334,767 | |
| Retail Total | 353,022 | $158.5 |
| Average Retail AUM | $449,005 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| UBS FINANCIAL SERVICES INC. | WEEHAWKEN-NJ-USA | $158.3 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $256.4 |
| Retail SMA AUM | $158.5 |
| Institutional SMA AUM | $97.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 42% | $107.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 6% | $15.4 |
| Municipal | 13% | $33.3 |
| Sovereign | 0% | $0.0 |
| IG Credit | 8% | $20.5 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 13% | $33.3 |
| Other Pools | 12% | $30.8 |
| Cash | 3% | $7.7 |
| Other | 3% | $7.7 |
| Total | 100% | $256.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | $702.4 | broker-dealer | 8174 |
| CREDIT SUISSE ASSET MANAGEMENT, LLC | $59.9 | 106012 | |
| CREDIT SUISSE ASSET MANAGEMENT LIMITED | $12.3 | 113463 | |
| UBS REALTY INVESTORS LLC | $2.7 | 107758 | |
| CREDIT SUISSE SECURITIES (USA) LLC | $0.8 | broker-dealer | 816 |
| UBS ASSET MANAGEMENT FUNDS LTD | $0.0 | 173081 | |
| UBS ASSET MANAGEMENT (ITALIA) SGR S.P.A. | $0.0 | - | |
| UBS FUND SERVICES (USA) LLC | $0.0 | broker-dealer | 41848 |
| UBS FUND MANAGEMENT (SWITZERLAND) AG | $0.0 | - | |
| UBS SECURITIES LLC | $0.0 | broker-dealer | 7654 |
| UBS OCONNOR LLC | $0.0 | 108754 | |
| UBS ASSET MANAGEMENT SWITZERLAND AG | $0.0 | - | |
| UBS ASSET MANAGEMENT (AUSTRALIA) LTD. | $0.0 | - | |
| UBS AG | $0.0 | broker-dealer | - |
| UBS ASSET MANAGEMENT (SINGAPORE) LTD | $0.0 | - | |
| UBS ASSET MANAGEMENT (TAIWAN) LTD | $0.0 | - | |
| UBS ASSET MANAGEMENT TRUST COMPANY | $0.0 | trust company | - |
| UBS FUND MANAGEMENT (IRELAND) LTD. | $0.0 | - | |
| UBS GROUP AG | $0.0 | - | |
| UBS ASSET MANAGEMENT (US) INC. | $0.0 | broker-dealer | 583 |
| UBS ASSET MANAGEMENT (DEUTSCHLAND) GMBH | $0.0 | - | |
| UBS FARMLAND INVESTORS LLC | $0.0 | 107754 | |
| UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO | $0.0 | broker-dealer | 13042 |
| UBS ASSET MANAGEMENT (CANADA) INC. | $0.0 | - | |
| UBS (LUXEMBOURG) S.A. | $0.0 | broker-dealer | - |
| UBS ASSET MANAGEMENT (UK) LTD. | $0.0 | - | |
| UBS ASSET MANAGEMENT (SHANGHAI) LIMITED | $0.0 | - | |
| UBS FUND SERVICES (LUXEMBOURG) S.A. | $0.0 | - | |
| UBS FUND MANAGEMENT (LUXEMBOURG) S.A. | $0.0 | - | |
| UBS MTF LIMITED | $0.0 | - | |
| UBS HEDGE FUND SOLUTIONS LLC | $0.0 | 131034 | |
| UBS ASSET MANAGEMENT (HONG KONG) LIMITED | $0.0 | - | |
| UBS ASSET MANAGEMENT (JAPAN) LTD. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
16 active
| Name | Title |
|---|---|
| MULLEN, BARRY, JOHN | CHIEF COMPLIANCE OFFICER |
| GILL, BARRY, JOHN | HEAD OF INVESTMENTS |
| MCINTOSH, IAN, ROSS | HEAD OF ACTIVE EQUITIES |
| PRIMMER, RYAN, FRANKLIN | HEAD OF INVESTMENT SOLUTIONS |
| POUCHER, JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER |
| ELLINGER, CRAIG, GARRET | HEAD OF AMERICAS FIXED INCOME |
| MATTONE, RALPH | TREASURER AND CHIEF FINANCIAL OFFICER |
| STACEY, PHILIP, DAVID | CHIEF LEGAL OFFICER |
| MURPHY, STEPHEN | HEAD OF INSTITUTIONAL CLIENT COVERAGE |
| KULBACK, EMILY, MARIE | HEAD OF PRODUCTS AMERICAS AND MANAGER |
| ZABEL, MEGGAN, KINUM | HEAD OF INVESTMENTS BUSINESS MANAGEMENT AND MANAGER |
| RONGETTI, MICHAEL | HEAD OF CREDIT SUISSE ASSET MANAGEMENT AND MANAGER |
ADVDB.CO • SOURCE: SEC
Representatives
31 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ANUPA SHRESTHA | NEW YORK | NY | S66|2003-03-10 | ||||||
| ANTHONY LIOTTI | NEW YORK | NY | S63|1994-06-30|S66|2012-12-19 | ||||||
| THOMASINA CARNEY | NEW YORK | NY | S66|2013-03-21 | ||||||
| SARAH LANG | NEW YORK | NY | S66|2023-03-27 | ||||||
| DAVID KELLY | NEW YORK | NY | S63|1993-10-13|S66|2005-06-27 | ||||||
| KEITH RATCLIFFE | NEW YORK | NY | S63|2007-08-02|S66|2009-06-10 | ||||||
| MARC PETERFRIEND | NEW YORK | NY | S63|2000-08-16|S65|2005-09-19 | ||||||
| NEIL TALBOT | NEW YORK | NY | S63|1995-02-27|S66|2006-09-01 | ||||||
| NICHOLAS CARROLL | NEW YORK | NY | S66|2021-10-11 | ||||||
| CATHY DESJARDINS | NEW YORK | NY | S63|1996-08-30|S65|1998-02-02 | ||||||
| DANIEL PRIMEAU | NEW YORK | NY | S63|2010-05-26 | CHARTERED FINANCIAL ANALYST | |||||
| KEVIN SPANO | NEW YORK | NY | S66|2016-03-23 | ||||||
| EDWARD ECCLES | NEW YORK | NY | S66|2018-06-19 | ||||||
| JAE WOONG JANG | NEW YORK | NY | S66|2021-11-20 | ||||||
| MICHAEL NIP | NEW YORK | NY | S66|2014-03-13 | ||||||
| MARK MCMILLAN | NEW YORK | NY | S63|1995-09-28|S65|1996-08-21 | ||||||
| EDMUND TRAN | NEW YORK | NY | S66|2014-09-05 | ||||||
| ROBERT DORFMAN | NEW YORK | NY | S63|1996-04-22|S65|1996-03-11 | ||||||
| STEPHEN CANTER | NEW YORK | NY | S66|2013-08-09 | ||||||
| KATHRYN LOPRESTI | NEW YORK | NY | S66|2011-12-08 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $477.9 | $0.0 | 0% | 823 | 0 | 0% |
| 2024-04-02 | $367.9 | $110.0 | 30% | 406 | 417 | 103% |
| 2023-04-04 | $300.9 | $177.0 | 59% | 380 | 443 | 117% |
| 2022-04-01 | $299.7 | $178.2 | 59% | 372 | 451 | 121% |
| 2021-04-05 | $269.2 | $208.7 | 78% | 381 | 442 | 116% |
| 2020-04-01 | $192.2 | $285.6 | 149% | 362 | 461 | 127% |
| 2019-04-01 | $179.4 | $298.4 | 166% | 389 | 434 | 112% |
| 2018-04-02 | $170.9 | $306.9 | 180% | 374 | 449 | 120% |
| 2017-04-01 | $142.1 | $335.7 | 236% | 407 | 416 | 102% |
| 2016-04-01 | $150.4 | $327.4 | 218% | 518 | 305 | 59% |
| 2015-04-01 | $153.8 | $324.1 | 211% | 509 | 314 | 62% |
| 2014-04-01 | $157.6 | $320.3 | 203% | 516 | 307 | 59% |
| 2013-04-01 | $164.8 | $313.1 | 190% | 508 | 315 | 62% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AK-06/29/2001, AL-06/27/2001, AR-06/29/2001, AZ-06/27/2001, CA-06/27/2001, CO-06/27/2001, CT-06/27/2001, DC-06/27/2001, DE-07/21/2003, FL-06/27/2001, GA-06/27/2001, HI-06/27/2001, IA-06/27/2001, ID-06/27/2001, IL-02/09/2000, IN-06/27/2001, KS-06/27/2001, KY-06/27/2001, LA-06/27/2001, MA-06/27/2001, MD-06/27/2001, ME-06/27/2001, MI-06/27/2001, MN-06/27/2001, MO-06/27/2001, MS-06/27/2001, MT-06/27/2001, NC-06/27/2001, ND-06/27/2001, NE-06/27/2001, NH-06/27/2001, NJ-07/27/2001, NM-06/27/2001, NV-06/27/2001, NY-06/27/2001, OH-06/27/2001, OK-08/21/2001, OR-06/27/2001, PA-06/27/2001, PR-06/27/2001, RI-06/27/2001, SC-06/27/2001, SD-06/27/2001, TN-09/17/2001, TX-06/27/2001, UT-06/28/2001, VA-06/27/2001, VI-03/30/2020, VT-06/27/2001, WA-06/27/2001, WI-06/27/2001, WV-06/27/2001 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV