Firms by custodian
Registered investment advisers that custody at UBS Europe Se
2 SEC-registered advisers report UBS Europe Se as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
2 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| TCW Investment ManagementCRD 106546 | Los Angeles, CA | $38.82B | 114 | 4,945 |
| Stonehage Fleming Investment Management LimitedCRD 313913 | London, Greater London | $23.84B | 52 | 725 |
TCW Investment ManagementCRD 106546$38.82B
- Headquarters
- Los Angeles, CA
- Advisory staff
- 114
- Clients
- 4,945
Stonehage Fleming Investment Management LimitedCRD 313913$23.84B
- Headquarters
- London, Greater London
- Advisory staff
- 52
- Clients
- 725
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming UBS Europe Se here says only what the filing says, and implies nothing about either firm's service.