UBS FINANCIAL SERVICES INC.
Latest filing: Apr 01, 2025 (122 days ago)
AUM
$808,822,670,899
15% change vs. 1 year ago
17% change vs. 3 years ago
37% change vs. 5 years ago
117% change vs. 10 years ago
Employee Count
12,629
-1% change vs. 1 year ago
-1% change vs. 3 years ago
-19% change vs. 5 years ago
-11% change vs. 10 years ago
Main Office
WEEHAWKEN, NJ
1200 HARBOR BOULEVARD, WEEHAWKEN, NJ, UNITED STATES, 7086
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $356.7 |
| Non-Discretionary | $452.1 |
| Total | $808.8 |
| Client | AUM |
|---|---|
| Retail | $679.5 |
| Pooled | $0.1 |
| Institutional | $129.3 |
| Total | $808.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 269,832 | $49.3 |
| Average Individual AUM | $182,890 | |
| HNW | 818,219 | $630.1 |
| Average HNW AUM | $770,105 | |
| Retail Total | 1,088,051 | $679.5 |
| Average Retail AUM | $624,479 |
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 | $808.7 |
| Retail SMA AUM | $679.5 |
| Institutional SMA AUM | $129.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 43% | $347.8 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 3% | $24.3 |
| Municipal | 8% | $64.7 |
| Sovereign | 0% | $0.0 |
| IG Credit | 4% | $32.3 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 39% | $315.4 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $16.2 |
| Other | 1% | $8.1 |
| Total | 100% | $808.7 |
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 | $542.2 | 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 | |||||
|---|---|---|---|---|---|---|---|---|---|
| JOHN ALLANSON | WEEHAWKEN | NJ | S63|1986-10-03|S65|1996-10-16 | ||||||
| JOSEPH STEPHENS | WEEHAWKEN | NJ | S66|2017-01-27 | ||||||
| ANASTACIA YOANNIDES YOUNG | WEEHAWKEN | NJ | S66|2017-11-28 | ||||||
| MERYLL BANGSIL | WEEHAWKEN | NJ | S66|2002-12-16 | CERTIFIED FINANCIAL PLANNER | |||||
| MICHAEL DELLINGER | WEEHAWKEN | NJ | S66|2003-10-24 | ||||||
| MATTHEW MEHALLICK | WEEHAWKEN | NJ | S66|2015-07-27 | ||||||
| GAGE KRIEGER | WEEHAWKEN | NJ | S66|2021-09-13 | ||||||
| JOHN MCMANUS | WEEHAWKEN | NJ | S63|1994-08-24|S66|2009-05-08 | ||||||
| BRUCE NEAL | WEEHAWKEN | NJ | S63|1988-09-01|S65|1991-07-03 | ||||||
| JASON FEDER | WEEHAWKEN | NJ | S63|1996-01-09|S65|1997-09-03|S66|2007-10-17 | ||||||
| EDGAR BACHRACH | WEEHAWKEN | NJ | S63|1997-02-28|S65|1997-03-17 | ||||||
| JUDY HOLLIDAY-BAYLESS | WEEHAWKEN | NJ | S63|2004-08-14|S66|2006-12-02 | ||||||
| CAMILLE YOUNG | WEEHAWKEN | NJ | S63|1990-02-13|S65|2003-10-29 | ||||||
| REESE LOCKETT JR. | WEEHAWKEN | NJ | S63|1980-01-31|S65|1995-08-28 | ||||||
| VAHIK ROSTAMLOO | WEEHAWKEN | NJ | S63|2001-01-10|S65|2002-05-02 | ||||||
| LARA CROWELL | WEEHAWKEN | NJ | S66|2005-04-29 | ||||||
| ROBERT GORDON-BROWN | WEEHAWKEN | NJ | S66|2007-11-27 | CHARTERED FINANCIAL ANALYST | |||||
| ELIZABETH LYNN | WEEHAWKEN | NJ | S63|2001-03-23|S65|2008-09-26 | ||||||
| REBEKAH BOETTCHER | WEEHAWKEN | NJ | S66|2018-06-14|S63|2018-01-23 | ||||||
| ANDREW CRAIG | WEEHAWKEN | NJ | S63|1992-11-05|S65|2006-03-20 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $808.8 | $0.0 | 0% | 12,629 | 0 | 0% |
| 2025-04-21 | $808.8 | $0.0 | 0% | 12,629 | 0 | 0% |
| 2024-04-02 | $702.4 | $106.4 | 15% | 12,701 | -72 | -1% |
| 2023-04-04 | $600.8 | $208.0 | 35% | 13,059 | -430 | -3% |
| 2022-04-01 | $692.3 | $116.5 | 17% | 12,710 | -81 | -1% |
| 2021-04-05 | $572.5 | $236.4 | 41% | 15,009 | -2,380 | -16% |
| 2020-04-01 | $591.4 | $217.5 | 37% | 15,605 | -2,976 | -19% |
| 2019-04-01 | $496.0 | $312.8 | 63% | 13,335 | -706 | -5% |
| 2018-04-02 | $496.1 | $312.7 | 63% | 13,402 | -773 | -6% |
| 2017-04-01 | $391.7 | $417.1 | 106% | 14,632 | -2,003 | -14% |
| 2016-04-01 | $358.3 | $450.6 | 126% | 14,489 | -1,860 | -13% |
| 2015-04-01 | $372.1 | $436.8 | 117% | 14,196 | -1,567 | -11% |
| 2014-04-01 | $272.3 | $536.5 | 197% | 14,737 | -2,108 | -14% |
| 2013-04-01 | $185.3 | $623.5 | 336% | 15,900 | -3,271 | -21% |
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