Firms by custodian
Registered investment advisers that custody at UBS Securities
5 SEC-registered advisers report UBS Securities 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.
5 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Kayne Anderson Rudnick Investment ManagementCRD 104599 | Los Angeles, CA | $39.36B | 47 | 24,735 |
| Polar Asset Management PartnersCRD 162681 | Toronto | $37.86B | 66 | 19 |
| First Pacific AdvisorsCRD 141823 | El Segundo, CA | $32.00B | 21 | 42 |
| Pentwater Capital ManagementCRD 156873 | Naples, FL | $19.26B | 20 | 23 |
| Cullen Capital ManagementCRD 113128 | New York, NY | $11.58B | 17 | 8,417 |
Kayne Anderson Rudnick Investment ManagementCRD 104599$39.36B
- Headquarters
- Los Angeles, CA
- Advisory staff
- 47
- Clients
- 24,735
Polar Asset Management PartnersCRD 162681$37.86B
- Headquarters
- Toronto
- Advisory staff
- 66
- Clients
- 19
First Pacific AdvisorsCRD 141823$32.00B
- Headquarters
- El Segundo, CA
- Advisory staff
- 21
- Clients
- 42
Pentwater Capital ManagementCRD 156873$19.26B
- Headquarters
- Naples, FL
- Advisory staff
- 20
- Clients
- 23
Cullen Capital ManagementCRD 113128$11.58B
- Headquarters
- New York, NY
- Advisory staff
- 17
- Clients
- 8,417
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 Securities here says only what the filing says, and implies nothing about either firm's service.