UBS FINANCIAL SERVICES INC.

Latest filing: Jun 26, 2024 (126 days ago)

AUM

$702,387,082,915
17% change vs. 1 year ago
23% change vs. 3 years ago
42% change vs. 5 years ago
158% change vs. 10 years ago

Employee Count

12,701
-3% change vs. 1 year ago
-15% change vs. 3 years ago
-5% change vs. 5 years ago
-14% change vs. 10 years ago

Main Office

WEEHAWKEN, NJ
1200 HARBOR BOULEVARD, WEEHAWKEN, NJ, UNITED STATES, 07086

Client AUM

Discretion AUM
Discretionary $317.3
Non-Discretionary $385.1
Total $702.4
Client AUM
Retail $582.5
Pooled $0.1
Institutional $119.8
Total $702.4
Retail Accounts AUM
Individual 307,630 $54.8
Average Individual AUM $178,294
HNW 738,112 $527.6
Average HNW AUM $714,804
Retail Total 1,045,742 $582.5
Average Retail AUM $556,977

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $702.3
Retail SMA AUM $582.5
Institutional SMA AUM $119.8
Asset Class % AUM
Equity Exch 40% $280.9
Equity Non-Exch 0% $0.0
Govt Agency 4% $28.1
Municipal 8% $56.2
Sovereign 0% $0.0
IG Credit 4% $28.1
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 40% $280.9
Other Pools 0% $0.0
Cash 2% $14.0
Other 1% $7.0
Total 99% $695.2

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 ASSET MANAGEMENT (AMERICAS) LLC $477.9 broker-dealer 106838
UBS OCONNOR LLC $0.0 108754
UBS TRUST COMPANY OF PUERTO RICO $0.0 trust company -
UBS BANK USA $0.0 -
UBS AG $0.0 broker-dealer -
UBS SECURITIES LLC $0.0 broker-dealer 7654
UBS FINANCIAL SERVICES INSURANCE AGENCY INC. $0.0 -
UBS HEDGE FUND SOLUTIONS LLC $0.0 131034

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

12 active

Name Title
FRANCOMANO, LISA M. CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS
CHANDLER, JASON RICHARD PRESIDENT
SANBORN, MARK WILSON MANAGING DIRECTOR
SOMMA, JOSEPH PRINCIPAL OPERATIONS OFFICER
MATTONE, RALPH PRINCIPAL FINANCIAL OFFICER
HASSAN, NAUREEN FATIMA CHAIRMAN
SAKAI, KIYE GENERAL COUNSEL
MUNFA, LAUREN CHIEF COMPLIANCE OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

9,702 active representatives found, showing 20 random

Name City State Exams Designations
JAMES O'CONNELL WEEHAWKEN NJ S63|1992-09-04|S65|1993-09-20
NATALIE BREON WEEHAWKEN NJ S66|2021-01-16
JOHN MCCOLSKEY WEEHAWKEN NJ S65|1994-06-28|S63|2015-06-04
THOMAS BERNSTEIN WEEHAWKEN NJ S66|2022-11-29
AMY HOWE WEEHAWKEN NJ S63|2000-08-30|S65|2005-11-02
DIANE AKA-BASHORUN WEEHAWKEN NJ S63|2002-05-14|S66|2012-04-26
BRADLEY RAY WEEHAWKEN NJ S66|2000-05-11 CERTIFIED FINANCIAL PLANNER
MAX PEREZ WEEHAWKEN NJ S66|2008-11-17
THOMAS SCHAEFER WEEHAWKEN NJ S63|1989-12-13|S65|1994-01-05
MATTHEW LITTLEFIELD WEEHAWKEN NJ S63|1999-12-06|S66|2008-03-24
HUONG TRAN WEEHAWKEN NJ S66|2008-11-05
BRIAN TOMASKA WEEHAWKEN NJ S63|1998-10-17|S66|2012-10-12
YI LU WEEHAWKEN NJ S66|2022-08-12
JOSE MARI ASUNCION WEEHAWKEN NJ S66|2006-03-20
ADRIENNE HART WEEHAWKEN NJ S66|2005-02-23
JOHN HOULIHAN WEEHAWKEN NJ S63|1993-12-31
EZEQUIEL SPORLEDER WEEHAWKEN NJ S66|2009-03-12
LAUREN BERGEN WEEHAWKEN NJ S66|2016-08-29
NURIA MESA WEEHAWKEN NJ S66|2016-11-15
EDUARDO CAAMANO RIAL WEEHAWKEN NJ S66|2021-08-25

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2024-10-01 $702.4 $0.0 0% 12,701 0 0%
2024-04-02 $702.4 $0.0 0% 12,701 0 0%
2023-04-04 $600.8 $101.6 17% 13,059 -358 -3%
2022-04-01 $692.3 $10.1 1% 12,710 -9 0%
2021-04-05 $572.5 $129.9 23% 15,009 -2,308 -15%
2020-04-01 $591.4 $111.0 19% 15,605 -2,904 -19%
2019-04-01 $496.0 $206.4 42% 13,335 -634 -5%
2018-04-02 $496.1 $206.3 42% 13,402 -701 -5%
2017-04-01 $391.7 $310.7 79% 14,632 -1,931 -13%
2016-04-01 $358.3 $344.1 96% 14,489 -1,788 -12%
2015-04-01 $372.1 $330.3 89% 14,196 -1,495 -11%
2014-04-01 $272.3 $430.1 158% 14,737 -2,036 -14%
2013-04-01 $185.3 $517.1 279% 15,900 -3,199 -20%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NJ, AK-08/14/1991, AL-07/01/1991, AR-06/12/1991, CA-07/08/1997, CO-01/01/1999, CT-07/02/1997, DC-02/19/1995, DE-09/11/2003, FL-09/10/1986, GA-09/03/1991, HI-10/18/1991, IA-01/01/1999, ID-09/17/1991, IL-09/22/1989, IN-05/23/1989, KS-08/01/1997, KY-01/05/2004, LA-10/18/2001, MD-07/24/1991, ME-01/30/2002, MI-03/31/2010, MN-05/26/1989, MO-05/17/1989, MS-08/15/1997, MT-11/26/1997, NC-03/23/2001, ND-05/26/1989, NE-07/31/1997, NH-09/26/1986, NJ-04/03/1993, NM-02/07/1992, NV-12/14/1990, NY-01/01/1974, OH-08/09/1999, OK-01/01/1998, PA-11/10/2005, PR-03/30/2018, RI-01/01/1993, SC-07/06/1989, SD-08/29/1991, TN-07/28/1997, TX-12/01/1970, UT-09/20/1991, VA-02/13/1989, VI-05/21/2007, VT-01/03/1995, WA-04/24/1990, WI-01/30/1996, WV-06/24/1991, WY-03/31/2021
ADVISER ACTIVITIES
FINANCIAL PLANNING
PORTFOLIO MANAGEMENT
PORTFOLIO MANAGEMENT (SMB)
PENSION CONSULTING
MANAGER SELECTION
NEWSLETTERS
SECURITY RATINGS
EDUCATIONAL WORKSHOPS
OTHER ACTIVITIES
BROKER DEALER
FUTURES MERCHANT
INSURANCE AGENT

ADVDB.CO • SOURCE: SEC FORM ADV