Ubs Financial Services Inc

CRD#8174
Investment Advisor Firm

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Learn more about Ubs Financial Services Inc

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

    • Overview

    Ubs Financial Services Inc operates as a financial advisory firm that has its headquarters in Weehawken, New Jersey. The company handles $600.8 billion in total assets throughout 1.1 million accounts, placing it among the largest financial advisory firms in the country by assets under management (AUM). Ubs Financial Services Inc has a very large team, including 10,029 financial advisors. Ubs Financial Services Inc is not a registered broker-dealer, signifying that the firm cannot buy and sell securities for its own accounts as well as its customers' and instead is required to go through a broker-dealer firm to do so. Securities are defined as tradable fiscal assets like options, bonds and equities.

    Ubs Financial Services Inc administers some of its client assets on a discretionary basis. Discretionary management is a structure in which buy and sell choices are made by a portfolio manager without needing to seek client authorization. The company also has 650,652 non-discretionary accounts with a total of $327.0 billion in assets. The advisory firm's average account size is $557,788. An average financial advisor at Ubs Financial Services Inc manages about 107 client accounts.

    The firm's central office is located at 1200 Harbor Boulevard, Weehawken, New Jersey 7086. The company is legally allowed to serve clients across 48 U.S. states and territories.

    Assets Under Management

    $600.8 billion

    Number of Advisors

    10,029

    Disclosures

    No

    Office Location

    1200 Harbor Boulevard
    Weehawken, NJ 07086

    Ubs Financial Services Inc by the Numbers

    Total Assets Under Management

    $600.8 billion

    National Average: $8.6 billion
    Total Number of Employees

    13,059

    National Average: 64
    Total Number of Accounts

    1,077,471

    National Average: 375,227
    Average Account Size

    $557.6 thousand

    National Average: $23.0 thousand
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    Products and Services

    Ubs Financial Services Inc provides multiple financial services, which can consist of financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. In the past financial year, the firm provided financial planning services to 1223 of its accounts. It is involved in selling products or offering services apart from investment advice to its clients. The firm is affiliated with a number of other companies in the financial services industry, including with a broker-dealer or securities dealer, banking or thrift institution, trust company, insurance company or agency, pension consultant, real estate broker or dealer and commodity pool advisor.

    Core Advisor Services

    • Offered by 31% of firms

      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.

    • Find a firm that offers this service

      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.

    • Offered by 3% of firms

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Offered by 6% of firms

      Educational Seminars/Workshops

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

    Back to Overview

    Fee Structure

    Fees charged by financial advisors usually depend on which services are offered. However, fees charged by the firm likely are comprised of the following fee types: asset-based, hourly, fixed, commission-based or other. The firm participates in a wrap fee program, in which the firm offers a bundle of services for a single 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 21% of firms

      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.

    • Offered by 1% of firms

      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.

    • 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.

    • Offered by 10% of firms

      Other

      Show Explanation

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

    Unavailable

    • Find one of the 26% of firms that offer this fee type

      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.

    • 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.

    Back to Overview

    Types of Clients

    The firm works with a number of different clients. The company provides services to retail investors, high net worth investors, banking institutions, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, insurance companies, sovereign wealth funds, corporations and other. Out of its 1,077,471 clients, Ubs Financial Services Inc's biggest client type is high net worth investors, though it also serves 714,891 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 in AUM or a net worth of at least $1.50 million or who is deemed a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's clients are non-U.S. persons.

    • High-Net-Worth Individuals* - 65.47%
    • Other Individuals - 29.72%
    • Corporations - 4.07%
    • Charitable Organizations - 0.74%

    * 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 Financial Services Inc does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Ubs Financial Services Inc

    Janine Klein
    Miami, FL
    David Coleman
    Short Hills, NJ
    Karyn Laughrun
    Asheville, NC
    Donald Rosenthal
    Short Hills, NJ
    Eric Delagarza
    Watertown, NY
    Michael Tusing
    Chesterfield, MO
    Seth Ripple
    Miami, FL
    John Mccolskey
    Atlanta, GA
    Scott Blankman
    New York, NY

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    The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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