UBS ASSET MANAGEMENT (AMERICAS) LLC
Latest filing: Mar 31, 2025 (76 days ago)
AUM
$542,245,991,275
47% change vs. 1 year ago
81% change vs. 3 years ago
182% change vs. 5 years ago
253% change vs. 10 years ago
Employee Count
792
95% change vs. 1 year ago
113% change vs. 3 years ago
119% change vs. 5 years ago
56% change vs. 10 years ago
Main Office
NEW YORK, NY
787 7TH AVENUE, NEW YORK, NY, UNITED STATES, 10019
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $522.1 |
| Non-Discretionary | $20.1 |
| Total | $542.2 |
| Client | AUM |
|---|---|
| Retail | $195.1 |
| Pooled | $257.8 |
| Institutional | $89.4 |
| Total | $542.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 318,180 | $89.7 |
| Average Individual AUM | $281,947 | |
| HNW | 80,474 | $105.4 |
| Average HNW AUM | $1,309,427 | |
| Retail Total | 398,654 | $195.1 |
| Average Retail AUM | $489,359 |
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 | $284.5 |
| Retail SMA AUM | $195.1 |
| Institutional SMA AUM | $89.4 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 49% | $139.4 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 6% | $17.1 |
| Municipal | 13% | $37.0 |
| Sovereign | 1% | $2.8 |
| IG Credit | 9% | $25.6 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 12% | $34.1 |
| Other Pools | 6% | $17.1 |
| Cash | 2% | $5.7 |
| Other | 2% | $5.7 |
| Total | 100% | $284.5 |
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. | $808.8 | broker-dealer | 8174 |
| CREDIT SUISSE ASSET MANAGEMENT, LLC | $59.9 | 106012 | |
| CREDIT SUISSE ASSET MANAGEMENT LIMITED | $9.7 | 113463 | |
| UBS REALTY INVESTORS LLC | $2.5 | 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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| MICHAEL BELASCO | NEW YORK | NY | S66|2016-01-06 | ||||||
| BRANDON MELBYE | NEW YORK | NY | S66|2013-04-29 | ||||||
| DANIEL PRIMEAU | NEW YORK | NY | S63|2010-05-26 | CHARTERED FINANCIAL ANALYST | |||||
| THOMASINA CARNEY | NEW YORK | NY | S66|2013-03-21 | ||||||
| ROBERT DORFMAN | NEW YORK | NY | S63|1996-04-22|S65|1996-03-11 | ||||||
| FILIPPO ILARDI | NEW YORK | NY | S66|2015-06-03 | ||||||
| KATHRYN LOPRESTI | NEW YORK | NY | S66|2011-12-08 | ||||||
| EDWARD ECCLES | NEW YORK | NY | S66|2018-06-19 | ||||||
| JEFFREY HANS | NEW YORK | NY | S63|2001-10-29|S65|2012-04-23 | ||||||
| STEPHEN CANTER | NEW YORK | NY | S66|2013-08-09 | ||||||
| DEVON SHIPPEE | NEW YORK | NY | S66|2018-05-22 | ||||||
| DYLAN WALSH | NEW YORK | NY | S66|2017-06-23 | ||||||
| KEITH RATCLIFFE | NEW YORK | NY | S63|2007-08-02|S66|2009-06-10 | ||||||
| EDMUND TRAN | NEW YORK | NY | S66|2014-09-05 | ||||||
| JAE WOONG JANG | NEW YORK | NY | S66|2021-11-20 | ||||||
| MARK MCMILLAN | NEW YORK | NY | S63|1995-09-28|S65|1996-08-21 | ||||||
| FABIO MICHIENZI | NEW YORK | NY | S66|2024-01-31 | ||||||
| NEIL TALBOT | NEW YORK | NY | S63|1995-02-27|S66|2006-09-01 | ||||||
| MARC PETERFRIEND | NEW YORK | NY | S63|2000-08-16|S65|2005-09-19 | ||||||
| CHRISTOPHER SHEA | NEW YORK | NY | S63|1993-10-11|S66|2006-05-08 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $542.2 | $0.0 | 0% | 792 | 0 | 0% |
| 2025-04-21 | $542.2 | $0.0 | 0% | 792 | 0 | 0% |
| 2024-04-02 | $367.9 | $174.4 | 47% | 406 | 386 | 95% |
| 2023-04-04 | $300.9 | $241.4 | 80% | 380 | 412 | 108% |
| 2022-04-01 | $299.7 | $242.5 | 81% | 372 | 420 | 113% |
| 2021-04-05 | $269.2 | $273.1 | 101% | 381 | 411 | 108% |
| 2020-04-01 | $192.2 | $350.0 | 182% | 362 | 430 | 119% |
| 2019-04-01 | $179.4 | $362.8 | 202% | 389 | 403 | 104% |
| 2018-04-02 | $170.9 | $371.3 | 217% | 374 | 418 | 112% |
| 2017-04-01 | $142.1 | $400.1 | 282% | 407 | 385 | 95% |
| 2016-04-01 | $150.4 | $391.8 | 261% | 518 | 274 | 53% |
| 2015-04-01 | $153.8 | $388.5 | 253% | 509 | 283 | 56% |
| 2014-04-01 | $157.6 | $384.7 | 244% | 516 | 276 | 53% |
| 2013-04-01 | $164.8 | $377.5 | 229% | 508 | 284 | 56% |
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, WY-03/31/2025 |
| 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