Firms by custodian
Registered investment advisers that custody at UBS Financial Services
18 SEC-registered advisers report UBS Financial Services 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.
18 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Capital Research and ManagementCRD 110885 | Los Angeles, CA | $4320.75B | 411 | 23,578 |
| UBS Asset Management (americas)CRD 106838 | New York, NY | $588.22B | 260 | 433,784 |
| Allspring Funds ManagementCRD 110841 | Charlotte, NC | $324.65B | 3 | 10,118 |
| Franklin Templeton Private Portfolio GroupCRD 142219 | New York, NY | $139.88B | 2 | 179,738 |
| New York Life Investment ManagementCRD 109591 | New York, NY | $120.70B | 18 | 933 |
| Vestmark Advisory SolutionsCRD 221518 | Wakefield, MA | $49.85B | 25 | 84,069 |
| Invesco Managed AccountsCRD 154461 | Seattle, WA | $31.28B | 29 | 17,443 |
| Fuller & Thaler Asset ManagementCRD 107033 | San Mateo, CA | $30.25B | 11 | 6,124 |
| Federated MdtaCRD 109355 | Boston, MA | $25.95B | 19 | 2,360 |
| Polen Capital ManagementCRD 106093 | Boca Raton, FL | $24.06B | 22 | 1,602 |
| Bahl & GaynorCRD 106139 | Cincinnati, OH | $20.99B | 47 | 889 |
| The London Company of VirginiaCRD 106654 | Richmond, VA | $14.89B | 15 | 6,122 |
| Madison Investment AdvisorsCRD 110297 | Madison, WI | $13.84B | 44 | 16,164 |
| Dolan McEniry Capital ManagementCRD 108658 | Chicago, IL | $13.76B | 11 | 6,403 |
| Stonebridge AdvisorsCRD 134017 | Wilton, CT | $11.83B | 9 | 255 |
| Yacktman Asset ManagementCRD 164420 | Austin, TX | $11.71B | 9 | 636 |
| Asset Preservation AdvisorsCRD 106741 | Atlanta, GA | $11.05B | 20 | 3,029 |
| Trian Fund ManagementCRD 154172 | New York, NY | $10.39B | 14 | 29 |
Capital Research and ManagementCRD 110885$4320.75B
- Headquarters
- Los Angeles, CA
- Advisory staff
- 411
- Clients
- 23,578
UBS Asset Management (americas)CRD 106838$588.22B
- Headquarters
- New York, NY
- Advisory staff
- 260
- Clients
- 433,784
Allspring Funds ManagementCRD 110841$324.65B
- Headquarters
- Charlotte, NC
- Advisory staff
- 3
- Clients
- 10,118
Franklin Templeton Private Portfolio GroupCRD 142219$139.88B
- Headquarters
- New York, NY
- Advisory staff
- 2
- Clients
- 179,738
New York Life Investment ManagementCRD 109591$120.70B
- Headquarters
- New York, NY
- Advisory staff
- 18
- Clients
- 933
Vestmark Advisory SolutionsCRD 221518$49.85B
- Headquarters
- Wakefield, MA
- Advisory staff
- 25
- Clients
- 84,069
Invesco Managed AccountsCRD 154461$31.28B
- Headquarters
- Seattle, WA
- Advisory staff
- 29
- Clients
- 17,443
Fuller & Thaler Asset ManagementCRD 107033$30.25B
- Headquarters
- San Mateo, CA
- Advisory staff
- 11
- Clients
- 6,124
Federated MdtaCRD 109355$25.95B
- Headquarters
- Boston, MA
- Advisory staff
- 19
- Clients
- 2,360
Polen Capital ManagementCRD 106093$24.06B
- Headquarters
- Boca Raton, FL
- Advisory staff
- 22
- Clients
- 1,602
Bahl & GaynorCRD 106139$20.99B
- Headquarters
- Cincinnati, OH
- Advisory staff
- 47
- Clients
- 889
The London Company of VirginiaCRD 106654$14.89B
- Headquarters
- Richmond, VA
- Advisory staff
- 15
- Clients
- 6,122
Madison Investment AdvisorsCRD 110297$13.84B
- Headquarters
- Madison, WI
- Advisory staff
- 44
- Clients
- 16,164
Dolan McEniry Capital ManagementCRD 108658$13.76B
- Headquarters
- Chicago, IL
- Advisory staff
- 11
- Clients
- 6,403
Stonebridge AdvisorsCRD 134017$11.83B
- Headquarters
- Wilton, CT
- Advisory staff
- 9
- Clients
- 255
Yacktman Asset ManagementCRD 164420$11.71B
- Headquarters
- Austin, TX
- Advisory staff
- 9
- Clients
- 636
Asset Preservation AdvisorsCRD 106741$11.05B
- Headquarters
- Atlanta, GA
- Advisory staff
- 20
- Clients
- 3,029
Trian Fund ManagementCRD 154172$10.39B
- Headquarters
- New York, NY
- Advisory staff
- 14
- Clients
- 29
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 Financial Services here says only what the filing says, and implies nothing about either firm's service.