Ubs Financial Services Inc
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Overview
Ubs Financial Services Inc is a financial advisor company based in Weehawken, New Jersey. The firm has $591.4 billion in assets under management over 975,301 customer accounts, placing it among the biggest financial advisory firms in the nation by assets under management (AUM). The firm has a very large team of 15,605 employees, nine thousand, nine hundred forty-eight of whom are financial advisors. Ubs Financial Services Inc does not act as a registered broker-dealer, meaning the company is not able to buy and sell securities for its clients' and own accounts and instead has to go through a broker-dealer company to do so. Securities are tradable fiscal investments like stocks, bonds and options.
Ubs Financial Services Inc manages the majority of its client assets in a discretionary manner. Discretionary management means that a portfolio manager makes buy and sell decisions for the client's account without needing client approval. It also administers 453,014 non-discretionary accounts with a total of $319.8 billion in AUM. The investment advisory firm administers an average of $606,337 in assets for each customer account. The average advisor at Ubs Financial Services Inc manages about 98 client accounts.
The firm's headquarters is located at 1200 Harbor Boulevard, Weehawken, New Jersey 7086. Ubs Financial Services Inc is legally registered to serve investors across 47 U.S. states and territories.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Ubs Financial Services Inc by the Numbers

$591.4 billion

15,605

975,301

$606.3 thousand
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Products and Services
Ubs Financial Services Inc offers multiple services, which can include 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 1753 of its clients with financial planning services. It does sell products or offer services aside from investment advice to its clients. The firm is also affiliated with one or more other service providers 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
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Offered by 45% 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.
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Offered by 62% 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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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
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Offered by 23% 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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Offered by 4% of firms
Publication of Periodicals
This is the publication of various financial education materials.
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Offered by 10% of firms
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Financial management fees typically vary depending on which services the firm provides the client. Fees billed by the company most likely include some combination of the following fee structures: asset-based, hourly, fixed, commission-based or other. Wrap fee programs, or the practice of bundling services for a single fee, are provided by Ubs Financial Services Inc.
Available
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Offered by 74% of firms
Percentage of Assets
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Offered by 35% of firms
Hourly
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Offered by 2% of firms
Commissions
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Offered by 40% of firms
Fixed
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Offered by 12% of firms
Other
Unavailable
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Find one of the 17% of firms that offer this fee type
Performance-based
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Find one of the 1% of firms that offer this fee type
Subscription
Types of Clients
The firm manages money for a broad range of clients. It provides services to retail investors, high net worth investors, banking institutions, 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 975,301 accounts, Ubs Financial Services Inc's largest client group by number of accounts is high net worth investors, but it also manages money for 573,492 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an individual who has at least $750,000 under management or a net worth of more than $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of its clients are non-U.S. persons.
- High-Net-Worth Individuals* - 57.66%
- Other Individuals - 37.94%
- Corporations - 3.84%
- Charitable Organizations - 0.56%
* 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
Weehawken, NJ
Scottsdale, AZ
Miamisburg, OH
Weehawken, NJ
Weehawken, NJ
New York, NY
Los Angeles, CA
Montevideo,
Spring, TX
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