UBS FINANCIAL SERVICES INC.
Company Profile
| AUM* | 1,519,672,416,861 27% |
| of that, discretionary | 976,032,455,903 25% |
| Private Fund GAV* | 84,352,681,351 -1% |
| Avg Account Size | 960,843 78% |
| High Net Worth | 59.75% 8% |
| SMA’s | Yes |
| Private Funds | 172 27 |
Adviser Type
- Outside the United States
- An investment adviser (or subadviser) to an investment company
- Related adviser
Number of Employees 13,313 -4%
of those in investment advisory functions 9,506 -3%
Client Types
- Individuals (other than high net worth individuals)
- High net worth individuals
- Banking or thrift institutions
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Other investment advisers
- Insurance companies
- Sovereign wealth funds and foreign official institutions
- Corporations or other businesses not listed above
- Other
Advisory Activities
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Pension consulting services
- Selection of other advisers
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
Compensation Arrangments
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Performance-based fees
Disclosure Reporting
| 11.A(1) | Convicted of felony (past 10 yrs) |
| 11.A(2) | Charged with felony |
| 11.B(1) | Convicted of investment-related misdemeanor |
| 11.B(2) | Charged with misdemeanor |
| 11.C(1) | SEC/CFTC found false statement |
| 11.C(2) | SEC/CFTC found violation |
| 11.C(3) | SEC/CFTC found cause of revoked authorization |
| 11.C(4) | SEC/CFTC order in investment-related activity |
| 11.C(5) | SEC/CFTC civil penalty / cease and desist |
| 11.D(1) | Other regulator found dishonest/unethical |
| 11.D(2) | Other regulator found violation |
| 11.D(3) | Other regulator found cause of revoked authorization |
| 11.D(4) | Other regulator order (past 10 yrs) |
| 11.D(5) | Other regulator denied/suspended/revoked license |
| 11.E(1) | SRO found false statement |
| 11.E(2) | SRO found rule violation |
| 11.E(4) | SRO disciplined (expelled/suspended/barred) |
| 11.F | Attorney/accountant/contractor authorization revoked |
| 11.G | Currently subject to regulatory proceeding |
| 11.H(1)(a) | Court enjoined (past 10 yrs) |
| 11.H(1)(b) | Court found investment-related violation |
| 11.H(1)(c) | Court dismissed pursuant to settlement |
| 11.H(2) | Currently subject to civil proceeding |
Recent News
Reported AUM
Private Funds
Employees
Form ADV-E Surprise Examination Reports
| Accounting Firm Name | Filing Date | Form ADV-E |
|---|---|---|
| Accounting Firm Name GRANT THORNTON | Filing Date12/23/2025 | Form ADV-E View Report |
| Accounting Firm Name ERNST & YOUNG LLP | Filing Date06/26/2025 | Form ADV-E View Report |
| Accounting Firm Name ERNST & YOUNG AG | Filing Date03/28/2025 | Form ADV-E View Report |
| Accounting Firm Name GRANT THORNTON | Filing Date01/28/2025 | Form ADV-E View Report |
| Accounting Firm Name ERNST & YOUND LLP | Filing Date05/15/2024 | Form ADV-E View Report |
| Accounting Firm Name ERNST & YOUNG AG | Filing Date02/22/2024 | Form ADV-E View Report |
| Accounting Firm Name ERNST & YOUNG | Filing Date12/19/2023 | Form ADV-E View Report |
Private Funds Structure
| SEC Fund Type | Count | GAV |
|---|---|---|
| SEC Fund TypeHedge Fund | Count41 | GAV$2,552,830,926 |
| SEC Fund TypeLiquidity Fund | Count4 | GAV$1,557,266,000 |
| SEC Fund TypePrivate Equity Fund | Count42 | GAV$5,199,090,788 |
| SEC Fund TypeReal Estate Fund | Count1 | GAV$1,485,647 |
| SEC Fund TypeSecuritized Asset Fund | Count64 | GAV$28,671,509,945 |
| SEC Fund TypeOther Private Fund | Count20 | GAV$46,370,498,045 |