Ubs Financial Services Inc

CRD#8174
Investment Advisor Firm

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Overview

Ubs Financial Services Inc operates as an advisory firm based in Weehawken, New Jersey. The firm manages $692.3 billion in assets over 1.1 million client accounts, making it one of the largest financial advisory firms in the United States by assets under management (AUM). The company has a very large team, including 9,954 financial advisors. Ubs Financial Services Inc is not a registered broker-dealer, meaning the advisor 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 defined as tradable financial assets like options, bonds and stocks.

Ubs Financial Services Inc oversees some of the company's client assets in a discretionary manner. Discretionary management signifies that a portfolio manager has the discretion to make buy and sell decisions for the client's account without requiring the customer's permission. The firm also has 647,584 non-discretionary accounts totaling $375.0 billion in AUM. The firm's typical account size is $644,401. The typical advisor at Ubs Financial Services Inc administers about 108 client accounts.

The company's main office is at 1200 Harbor Boulevard, Weehawken, New Jersey 7086. The company is legally permitted to serve investors throughout 48 U.S. states and territories.

Assets Under Management

$692.3 billion

Number of Advisors

9,954

Disclosures

No

Office Location

1200 Harbor Boulevard
Weehawken, NJ 07086

Ubs Financial Services Inc by the Numbers

Total Assets Under Management

$692.3 billion

National Average: $9.0 billion
Total Number of Employees

12,710

National Average: 71,771
Total Number of Accounts

1,073,865

National Average: 4,329
Average Account Size

$644.7 thousand

National Average: $2.1 million

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Products and Services

Ubs Financial Services Inc offers a variety of 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 prior financial year, it provided 1362 of its accounts with financial planning services. The firm does sell products or offer services aside from investment advice to its customers. The firm 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

  • 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 47% 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 21% 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 7% 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

A financial advisor's fees vary depending on which service is offered. Fee types charged by Ubs Financial Services Inc most likely include 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 offered by Ubs Financial Services Inc.

Available

  • Offered by 70% 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 33% 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.

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Types of Clients

The company works with 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 1,073,865 clients, Ubs Financial Services Inc's largest client group by number of accounts is high net worth investors, but it also manages money for 716,638 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 more than $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 customers are non-U.S. persons.

  • High-Net-Worth Individuals* - 65.93%
  • Other Individuals - 30.38%
  • Corporations - 3.17%
  • Charitable Organizations - 0.51%

* 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

Hallie Lee
Bethesda, MD
Robert Samuels
New York, NY
Sherri Hynden
Fort Myers, FL
Brock Van Selow
Washington, DC
Lucy Johnson
Mount Laurel, NJ
Kimberly Penzone
Columbus, OH
Kevin Fennell
San Diego, CA
Joshua Holdman
Richardson, TX
John Puailoa
Austin, TX

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The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.

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