{"url":"https://nivawealth.com/firms/ubs-asset-management-americas-106838","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106838","regulatoryAum":588219618121,"crd":"106838","secFileNumber":"801-34910","legalName":"UBS Asset Management (americas) LLC","displayName":"UBS Asset Management (americas)","website":null,"linkedinUrl":"https://www.linkedin.com/showcase/ubs-asset-management/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1285 Avenue of the Americas","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10019"},"tradeNames":["UBS Am","UBS Asset Management","UBS Credit Investments Group","UBS Global Real Assets Americas","UBS Sustainable Investors","UBS Unified Global Alternatives"],"registration":{"secApproved":"11 September 1989","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":574,"advisory":260,"brokerDealerReps":178,"insuranceAgents":0,"promoters":6},"aum":{"discretionary":563949029253,"discretionaryAccounts":433738,"nonDiscretionary":24270588868,"nonDiscretionaryAccounts":46,"wrapProgram":231372119790,"nonUsClientsPct":1,"nonAumClients":17},"clientTypes":[{"label":"Individuals (other than HNW)","clients":326365,"regulatoryAum":95925634042},{"label":"High-net-worth individuals","clients":88963,"regulatoryAum":105170267682},{"label":"Banking or thrift institutions","clients":1168,"regulatoryAum":1420731985},{"label":"Investment companies","clients":62,"regulatoryAum":96193470097},{"label":"Pooled investment vehicles","clients":360,"regulatoryAum":184407693765},{"label":"Pension and profit-sharing plans","clients":14,"regulatoryAum":3122057066},{"label":"Charitable organizations","clients":2743,"regulatoryAum":4323717908},{"label":"State or municipal government entities","clients":141,"regulatoryAum":9412133658},{"label":"Other investment advisers","clients":7,"regulatoryAum":1826368976},{"label":"Insurance companies","clients":191,"regulatoryAum":4469634438},{"label":"Sovereign wealth funds and foreign official institutions","clients":18,"regulatoryAum":50618053241},{"label":"Corporations and other businesses","clients":13703,"regulatoryAum":28452781145},{"label":"Other","clients":49,"regulatoryAum":2877074118}],"fees":[],"feeNotes":[],"custodians":[{"name":"UBS Financial Services Inc.","shortName":"UBS Financial Services","location":"Weehawken, NJ","smaAssets":232278696791},{"name":"State Street Bank and Trust Company, London","shortName":"State Street Bank and Trust Company, London","location":"London","smaAssets":31702714429}],"custodyNote":"UBS Asset Management (americas) has custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Poucher","title":"President, Chief Executive Officer and Manager","crd":"5915713"},{"name":"Ralph Mattone","title":"Chief Financial Officer","crd":"1840894"},{"name":"Peter Gyr","title":"Chief Compliance Officer","crd":"5972431"},{"name":"Barry Gill","title":"Head of Investments","crd":"4502669"},{"name":"Philip Stacey","title":"Chief Legal Officer","crd":"6434626"},{"name":"Omar Tariq","title":"Director and Board Member","crd":"5862542"},{"name":"Shelley Wong-Chassine","title":"Director and Board Member","crd":"2390641"},{"name":"Meggan Zabel","title":"Head of Investments Business Management and Manager","crd":"7467566"}],"ownership":[{"label":"UBS Americas Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since October 2003."},{"label":"Csam Americas Holding LLC","detail":"Shareholder in the 10% to 25% ownership band and a control person, since November 2000."},{"label":"UBS Ag","detail":"Indirect owner: a member of UBS Americas Holding LLC in the 75% or more band and a control person, since August 2015.","parent":"UBS Americas Holding LLC"},{"label":"UBS Group Ag","detail":"Indirect owner: a parent company of UBS Ag in the 75% or more band and a control person, since November 2014.","parent":"UBS Ag"},{"label":"UBS Americas Holding LLC","detail":"Indirect owner: a shareholder of UBS Americas Inc. in the 75% or more band and a control person, since August 2015.","parent":"UBS Americas Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":15,"privateResidences":0},"listedOfficeAddresses":9,"officesByState":[{"state":"California","offices":3,"addresses":[{"street":"555 California Street","city":"San Francisco"},{"street":"2000 Avenue of the Stars","city":"Los Angeles"},{"street":"1255 Treat BLVD.","city":"Walnut Creek"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"600 Washington BLVD.","city":"Stamford"}]},{"state":"District of Columbia","offices":1,"addresses":[{"street":"1700 M Street NW","city":"Washington"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"One North Wacker Drive","city":"Chicago"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"1000 Harbor BLVD.","city":"Weehawken"}]},{"state":"New York","offices":2,"addresses":[{"street":"1285 Avenue of the Americas","city":"New York","headquarters":true},{"street":"11 Madison Avenue","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-713-2000","stateRegisteredReps":31,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":53},{"label":"U.S. government/agency bonds","percent":6},{"label":"U.S. state and local bonds","percent":13},{"label":"Investment grade corporate bonds","percent":9},{"label":"Securities issued by registered investment companies or business development companies","percent":13},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":2,"detail":"Credit Facilites"}],"privateFunds":139},"sources":{"adv1FilingDate":"31 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106838/PDF/106838.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does UBS Asset Management (americas) have?","answer":"UBS Asset Management (americas) has 433,784 clients and manages $588.2 billion for them, as of July 2026. They include 326,365 other individuals, 88,963 high-net-worth individuals and 13,703 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does UBS Asset Management (americas) offer?","answer":"UBS Asset Management (americas) provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, pension consulting and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does UBS Asset Management (americas) use?","answer":"UBS Asset Management (americas)’s separately managed account assets are held at UBS Financial Services Inc. (Weehawken, NJ), with $232,278,696,791 and State Street Bank and Trust Company, London (London), with $31,702,714,429. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does UBS Asset Management (americas) have?","answer":"UBS Asset Management (americas) has 31 investment adviser representatives registered with state securities authorities, out of 574 employees, and 260 perform investment advisory functions. 178 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does UBS Asset Management (americas) invest in?","answer":"At the end of its last fiscal year, UBS Asset Management (americas)’s separately managed accounts held 53% exchange-traded equities, 13% state and local bonds, 13% registered funds (mutual funds, ETFs, BDCs), 9% investment grade corporate bonds, 6% U.S. government and agency bonds, 2% pooled vehicles (private funds and similar), 2% cash and equivalents and 2% credit facilites. It advises 139 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns UBS Asset Management (americas)?","answer":"UBS Asset Management (americas) is owned through a chain of holding companies by UBS Group Ag. Its direct owners are UBS Americas Inc. (75% or more) and Csam Americas Holding LLC (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 31 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does UBS Asset Management (americas) get paid?","answer":"UBS Asset Management (americas) is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}