Ubs Asset Management (Americas) LLC

CRD#106838
Investment Advisor Firm

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Learn more about Ubs Asset Management (Americas) LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Ubs Asset Management (Americas) LLC is located at 787 7th Avenue, New York, NY. The firm employs 411 financial advisors to manage client portfolios and provide financial guidance. Ubs Asset Management (Americas) LLC is not a registered broker-dealer.

    Ubs Asset Management (Americas) LLC oversees $477.9 billion in assets under management across 353,642 accounts, of which 353,605 are discretionary and 37 are non-discretionary. The services offered include portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, and selection of other advisers. The firm caters to a diverse range of investors, including retail investors, high net worth investors, banking institutions, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, other investment advisers, insurance companies, sovereign wealth funds, and corporations. Retail investors are the largest client type by accounts. The fee structure at Ubs Asset Management (Americas) LLC includes asset-based, fixed, and performance-based fees. The firm has 61,960 high net worth clients and maintains affiliations with a broker-dealer or securities dealer, banking or thrift institution, trust company, insurance company or agency, pension consultant, and commodity pool advisor.

    Ubs Asset Management (Americas) LLC is registered in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, and Wisconsin.

    Assets Under Management

    $477.9 billion

    Number of Advisors

    411

    Disclosures

    No

    Office Location

    787 7Th Avenue
    New York, NY 10019

    Ubs Asset Management (Americas) LLC by the Numbers

    Total Assets Under Management

    $477.9 billion

    National Average: $8.6 billion
    Total Number of Employees

    823

    National Average: 64
    Total Number of Accounts

    353,642

    National Average: 375,227
    Average Account Size

    $1.4 million

    National Average: $23.0 thousand
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    Products and Services

    Ubs Asset Management (Americas) LLC provides a number of services, including portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for institutional clients, and selection of other advisers. Notably, Ubs Asset Management (Americas) LLC did not provide financial planning services to any of its clients in the prior financial year. It is not involved in selling products or offering services aside from investment advisory services to its investment advisory clients.

    Core Advisor Services

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      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

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      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

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      Publication of Periodicals

      This is the publication of various financial education materials.

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      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Fees for financial advice typically depend on the financial services offered. Fees billed by Ubs Asset Management (Americas) LLC likely consist of some combination of the following fee structures: asset-based, fixed, or performance-based. The company participates in a wrap fee program, in which the company offers a bundle of services for a comprehensive fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 26% of firms

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 21% of firms that offer this fee type

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    The company manages money for a broad range of investors. The firm works with retail investors, high net worth investors, banking institutions, investment companies, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, other investment advisers, insurance companies, sovereign wealth funds, corporations, and other. Out of its 13 clients, Ubs Asset Management (Americas) LLC's largest client type by number of accounts is pooled investment vehicles, but it also caters to 61960 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 in AUM or a net worth of more than $1,50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments).

    • High-Net-Worth Individuals* - 17.52%
    • Other Individuals - 82.31%
    • Corporations - 0.17%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Ubs Asset Management (Americas) LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Ubs Asset Management (Americas) LLC

    Sarah Lang
    New York, NY
    Edmund Tran
    New York, NY
    Igor Gitstein
    New York, NY
    Kevin Spano
    New York, NY
    John Matteson
    New York, NY
    Devon Shippee
    New York, NY
    Stephen Canter
    Fairfield, CT
    Jae Woong Jang
    New York, NY
    Jeffrey Hans
    New York, NY

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