Ubs Financial Services Inc
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Learn more about Ubs Financial Services Inc
Overview
Ubs Financial Services Inc is a financial advisory company located in Weehawken, New Jersey. The company manages $496.0 billion in total assets throughout 957,738 customer accounts, placing it among the largest investment advisory firms in the nation by assets under management (AUM). It has a very large group of 13,335 employees, of which 10,409 are financial advisors. Ubs Financial Services Inc does not act as a registered broker-dealer, signifying that the firm is not able to buy and sell securities for its customers' and own accounts and instead is required to go through a broker-dealer company to do so. Securities are tradable fiscal assets such as options, equities and bonds.
Ubs Financial Services Inc administers more than half of its accounts on a discretionary basis. Discretionary management is a structure in which buy and sell choices are made by a portfolio manager without needing client consent. The firm also administers 457,661 non-discretionary accounts with a total of $270.0 billion in AUM. The advisory firm's average account size is $517,887. The typical financial advisor at Ubs Financial Services Inc administers about 92 client accounts.
The firm's main office is located at 1200 Harbor Boulevard, Weehawken, New Jersey 7086. The company is allowed to provide services to investors throughout 48 U.S. states and territories.
Number of Advisors
Disclosures
Office Location
Ubs Financial Services Inc by the Numbers

13,335

957,738

$517.9 thousand
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Products and Services
Ubs Financial Services Inc offers a variety of financial services, including 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 last financial year, Ubs Financial Services Inc provided 1,990 of its accounts with financial planning services. The company does sell products or offer services other than investment advice to its clients. Ubs Financial Services Inc also has a number of financial industry affiliations, 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 63% 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 advisory fees are based on which services the firm provides the client. Fee types billed by Ubs Financial Services Inc can be comprised of some blend 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 75% of firms
Percentage of Assets
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Offered by 37% of firms
Hourly
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Offered by 3% 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 works with a number of different clients. It works with retail investors, high net worth investors, banking institutions, pooled investment vehicles, pension plans, charitable organizations, state or municipal government entities, other investment advisors, insurance companies, sovereign wealth funds, corporations and other types of clients. Out of its 957,738 clients, Ubs Financial Services Inc's largest client is high net worth investors, though it also manages money for 545,177 high-net-worth individuals. A high-net-worth individual is defined by the SEC as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's accounts are represented by people from outside of the U.S.
- High-Net-Worth Individuals* - 55.71%
- Other Individuals - 39.89%
- Corporations - 3.91%
- Charitable Organizations - 0.49%
* 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
Weehawken, NJ
La Jolla, CA
Farmington, MI
Pasadena, CA
Boulder, CO
Florham Park, NJ
Birmingham, MI
Beaumont, TX
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