Hedge Fund Database

UBS FINANCIAL SERVICES INC.

Adviser information for UBS FINANCIAL SERVICES INC. last updated from Form ADV on March 31st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 12701
Investment Advisory/Research 9213
Registered Broker-Dealer Representatives 11070
Registered State Investment Advisers 9213
Licensed Agents of an Insurance Company 6195
No. of Firms/People that Solicit Clients 129

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 429,100 $317.3B
Non-Discretionary 664,386 $385.1B
Total 1.1M $702.4B

Clients

Type Number RAUM
Individuals 307,630 $54.8B
HNW Individuals 738,112 $527.6B
Banking or thrift institutions 11 $66.6M
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 57 $128.3M
Pension and profit sharing plans 10,756 $23.1B
Charitable organizations 7,158 $16.2B
State or municipal gov entities 354 $2.2B
Other investment advisers 0 $0
Insurance companies 390 $971.7M
Sovereign wealth funds and foreign official institutions 45 $317.3M
Corporations or other businesses 25,909 $71.6B
Other 3,064 $5.3B
Type Number
No. of Non-RAUM Clients 21125
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 1121

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersSecurity ratings or pricing servicesEducational seminars/workshops
Compensation % of AUMHourly chargesFixed feesCommissionsSEE SCHEDULE D - MISCELLANEOUS
Other Business Activities Broker-dealerFutures commission merchantInsurance broker or agent

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 218.6B
Portfolio Manager 0
Both for Same 472.3B
Portfolio Manager to Program Sponsor
UBS ADVICE PORTFOLIO PROGRAM UBS FINANCIAL SERVICES INC.
PORTFOLIO MANAGEMENT PROGRAM UBS FINANCIAL SERVICES INC.
UBS INSTITUTIONAL CONSULTING PROGRAM UBS FINANCIAL SERVICES INC.
UBS CONSOLIDATED ADVISORY PROGRAM UBS FINANCIAL SERVICES INC.
ADVISOR ALLOCATION PROGRAM UBS FINANCIAL SERVICES INC
UBS STRATEGIC WEALTH PORTFOLIOS UBS FINANCIAL SERVICES INC.
PERSONALIZED ASSET CONSULTING EVALUATION (PACE) UBS FINANCIAL SERVICES INC.
UBS STRATEGIC ADVISOR UBS FINANCIAL SERVICES INC.

Identifiers

SEC RIA File Number 801-7163
SEC ERA File Number 801-7163
SEC CIK Numbers None
SEC CRD Numbers 8174
Legal Entity Identifier None

Principal Office

1200 HARBOR BOULEVARD
WEEHAWKEN
NJ
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 201-352-3000, Fax: None

Websites

www.linkedin.com/in/john-s-mathews-36557b1b/ www.linkedin.com/in/jennifer-povlitz-vision-values/ twitter.com/ubs/ www.linkedin.com/in/jason-chandler-aa26186/ www.instragram.com/ubstrending/ www.linkedin.com/in/bill-carroll-a23825162 www.ubs.com/global/en/legal/social-legal.html www.linkedin.com/in/solita-marcelli-ubs/ www.linkedin.com/showcase/ubs-gwm/ www.youtube.com/@ubsathletesandentertainers www.ubs.com/us/en/wealth-management.html www.linkedin.com/in/naureen-hassan-ubs/ www.linkedin.com/in/paula-polito/

Chief Compliance Officer

LISA FRANCOMANO
MANAGING DIRECTOR, HEAD OF GWM C&ORC PRODUCTS & SOLUTIONS
1000 HARBOR BLVD.
8TH FLOOR
WEEHAWKEN
NJ
United States
Tel: 201-352-2944
Fax: 201-272-2812
(Full email address available in API data)

Regulatory Contact

MARA GALEANO
DEPUTY GEN. COUNSEL & MANAGING DIRECTOR
1000 HARBOR BOULEVARD
8TH FLOOR
WEEHAWKEN
NJ
United States
Tel: 201-352-0447
Fax: 201-617-8458
(Full email address available in API data)

Industry Affiliates

BANKING Banking or thrift institution
INSURANCE Insurance company or agency
TRUST COMPANY Trust company
UBS AG Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerBanking or thrift institutionSponsor, GP, manager of pooled investment vehicles
UBS ASSET MANAGEMENT (AMERICAS) INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
UBS HEDGE FUND SOLUTIONS Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
UBS OCONNOR LLC Other investment adviser, including financial planners
UBS SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
UBS AMERICAS INC. Domestic Entity – OWNER 11/2000 > 75%
UBS AG Foreign Entity UBS AMERICAS HOLDING LLC SHAREHOLDER 11/2001 > 75%
FRANCOMANO, LISA M. Individual – CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS 10/2006 < 5%
CHANDLER, JASON RICHARD Individual – PRESIDENT 01/2019 < 5%
UBS GROUP AG Foreign Entity UBS AG SHAREHOLDER 11/2014 > 75%
UBS AMERICAS HOLDING LLC Domestic Entity UBS AMERICAS INC. SHAREHOLDER 08/2015 > 75%
SANBORN, MARK WILSON Individual – MANAGING DIRECTOR 11/2017 < 5%
SOMMA, JOSEPH Individual – PRINCIPAL OPERATIONS OFFICER 05/2019 < 5%
MATTONE, RALPH Individual – PRINCIPAL FINANCIAL OFFICER 07/2019 < 5%
HASSAN, NAUREEN FATIMA Individual – CHAIRMAN 10/2022 < 5%
SAKAI, KIYE Individual – GENERAL COUNSEL 12/2022 < 5%
MUNFA, LAUREN Individual – CHIEF COMPLIANCE OFFICER 02/2023 < 5%

No. Employees, Historic

20,00010,0000201920202021202220232024202513335 on 7/18/201913335 on 11/27/201913335 on 12/3/201915605 on 3/30/202015605 on 3/31/202015605 on 3/31/202015605 on 6/10/202015605 on 6/11/202015605 on 6/11/202015605 on 6/11/202015605 on 6/30/202015605 on 9/1/202015605 on 10/30/202015009 on 3/31/202115009 on 7/29/202115009 on 8/18/202115009 on 9/17/202115009 on 9/30/202115009 on 11/11/202115009 on 12/14/202112710 on 3/31/202212710 on 4/1/202212710 on 6/16/202212710 on 8/18/202212710 on 12/9/202212710 on 12/15/202212710 on 2/14/202313059 on 3/31/202313059 on 4/5/202313059 on 4/6/202313059 on 7/17/202313059 on 8/9/202313059 on 1/17/202412701 on 3/31/2024

RAUM, Historic

800B400B02019202020212022202320242025496034949376 on 7/18/2019496034949376 on 11/27/2019496034949376 on 12/3/2019591360861325 on 3/30/2020591360861325 on 3/31/2020591360861325 on 3/31/2020591360861325 on 6/10/2020591360861325 on 6/11/2020591360861325 on 6/11/2020591360861325 on 6/11/2020591360861325 on 6/30/2020591360861325 on 9/1/2020591360861325 on 10/30/2020572470625699 on 3/31/2021572470625699 on 7/29/2021572470625699 on 8/18/2021572470625699 on 9/17/2021572470625699 on 9/30/2021572470625699 on 11/11/2021572470625699 on 12/14/2021692292245524 on 3/31/2022692292245524 on 4/1/2022692292245524 on 6/16/2022692292245524 on 8/18/2022692292245524 on 12/9/2022692292245524 on 12/15/2022692292245524 on 2/14/2023600808847012 on 3/31/2023600808847012 on 4/5/2023600808847012 on 4/6/2023600808847012 on 7/17/2023600808847012 on 8/9/2023600808847012 on 1/17/2024702387082915 on 3/31/2024

No. Clients, Historic

2M1M02019202020212022202320242025978646 on 7/18/2019978646 on 11/27/2019978646 on 12/3/2019994585 on 3/30/2020994585 on 3/31/2020994585 on 3/31/2020994585 on 6/10/2020994585 on 6/11/2020994585 on 6/11/2020994585 on 6/11/2020994585 on 6/30/2020994585 on 9/1/2020994585 on 10/30/20201023136 on 3/31/20211023136 on 7/29/20211023136 on 8/18/20211023136 on 9/17/20211023136 on 9/30/20211023136 on 11/11/20211023136 on 12/14/20211086929 on 3/31/20221086929 on 4/1/20221086929 on 6/16/20221086929 on 8/18/20221086929 on 12/9/20221086929 on 12/15/20221086929 on 2/14/20231091929 on 3/31/20231091929 on 4/5/20231091929 on 4/6/20231091929 on 7/17/20231091929 on 8/9/20231091929 on 1/17/20241093486 on 3/31/2024