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 is a financial advisor company based in Weehawken, New Jersey. The firm handles $496.0 billion in assets across 957,738 client accounts, placing it among the biggest investment advisory firms in the nation by assets under management (AUM). The firm has a very large group of 13,335 employees, including 10,409 financial advisors. Ubs Financial Services Inc is not a registered broker-dealer, signifying that the advisor cannot buy and sell securities for its customers' and own accounts and instead has to go through a broker-dealer company to do so. Securities are defined as tradable financial assets such as options, equities and bonds.

    Ubs Financial Services Inc manages 500,077 of the company's client assets in a discretionary manner. Discretionary management is a structure in which a portfolio manager makes transaction judgments for the client's account without requiring the client's approval. It also administers 457,661 non-discretionary accounts totaling $270.0 billion in assets under management. The company's typical account size is $517,887. The average financial advisor at Ubs Financial Services Inc administers around 92 client accounts.

    The firm's headquarters is located at 1200 Harbor Boulevard, Weehawken, New Jersey 7086. The firm is legally registered to serve investors across 47 U.S. states and territories.

    Assets Under Management

    $496.0 billion

    Number of Advisors

    10,409

    Disclosures

    No

    Office Location

    1200 Harbor Boulevard
    Weehawken, NJ 07086

    Ubs Financial Services Inc by the Numbers

    Total Assets Under Management

    $496.0 billion

    National Average: $3.3 billion
    Total Number of Employees

    13,335

    National Average: 31
    Total Number of Accounts

    957,738

    National Average: 1,935
    Average Account Size

    $517.9 thousand

    National Average: $1.7 million

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    Products and Services

    Ubs Financial Services Inc offers multiple 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 past fiscal year, Ubs Financial Services Inc provided financial planning services to 1990 of its accounts. The company is engaged in selling products or offering services other than investment advice to its customers. It 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

    • Offered by 44% 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 61% 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 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.

    • Offered by 4% of firms

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Offered by 10% of firms

      Educational Seminars/Workshops

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

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    Fee Structure

    Financial advisory fees usually vary depending on the type of financial services provided. However, fee types charged by the company can be comprised of some combination of the following fee types: asset-based, hourly, fixed, commission-based or other. The company participates in a wrap fee program, in which the firm offers a service bundle for a single fee.

    Available

    • Offered by 72% 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 35% 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 2% 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 39% 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 12% 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 17% 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 1% 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.

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    Types of Clients

    The firm does business with a broad range of clients. It caters 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 957,738 clients, Ubs Financial Services Inc's largest client group is high net worth investors, although it also manages money for 545,177 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 in AUM or a net worth of more than $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). Just 1% of the company's clients reside abroad.

    • 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

    Catherine L. Smith
    Portland, ME
    Gregory Miller
    Newtown, PA
    Eric Ayarzagoitia Trevino
    San Antonio, TX
    Ian Deluke
    Rochester, NY
    Nicole Hiller
    Wayzata, MN
    Jordan Winterfeld
    Houston, TX
    Heather Steggall
    Birmingham, MI
    Brenda Li
    San Francisco, CA
    Christopher Albanese
    Weehawken, NJ

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    This content was compiled from the SEC and FINRA