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UBS Financial Services

SEC-registered adviser since 1971Weehawken, NJCRD 8174

$915.8B
AUM
1,144,588
Clients
See fees
Fee
9,149
Advisory staff

From Form ADV filed 25 August 2026 · data retrieved 15 October 2026SEC record

UBS Financial Services is an investment adviser headquartered in Weehawken, New Jersey, and registered with the SEC since 1971. Its clients include high-net-worth individuals, corporations and other businesses, and other individuals. High-net-worth individuals account for 78% of its regulatory assets under management.

Its services include financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, publishing newsletters, security ratings or pricing, and educational seminars. Fee arrangements include a percentage of assets under management, hourly charges, fixed fees, commissions and other arrangements. UBS Americas Inc. owns 75% or more of UBS Financial Services.

Clients

UBS Financial Services serves 1,144,588 clients, 853,775 of them high-net-worth individuals. The average client has about $800,000 with the firm, and high-net-worth clients hold 78% of its $915.8 billion in assets.

Regulatory assets by client type
  • Individuals244,284 clients5%
  • High-net-worth individuals853,775 clients78%
  • Pension and profit-sharing plans9,843 clients3%
  • Charitable organizations8,053 clients2%
  • Corporations and other businesses27,490 clients10%
  • OtherBanking or thrift institutions, Pooled investment vehicles, State or municipal government entities, Insurance companies, Sovereign wealth funds and foreign official institutions, Other1%
Show client breakdown
Individuals (other than HNW)
Clients
244,284
Regulatory AUM
$47,162,393,254
Share
5.1%
Avg. per client
$193K
High-net-worth individuals
Clients
853,775
Regulatory AUM
$714,551,348,001
Share
78.0%
Avg. per client
$837K
Banking or thrift institutions
Clients
8
Regulatory AUM
$59,326,825
Share
0.0%
Avg. per client
$7.42M
Pooled investment vehicles
Clients
24
Regulatory AUM
$71,341,571
Share
0.0%
Avg. per client
$2.97M
Pension and profit-sharing plans
Clients
9,843
Regulatory AUM
$26,434,806,263
Share
2.9%
Avg. per client
$2.69M
Charitable organizations
Clients
8,053
Regulatory AUM
$21,440,819,140
Share
2.3%
Avg. per client
$2.66M
State or municipal government entities
Clients
357
Regulatory AUM
$4,257,097,099
Share
0.5%
Avg. per client
$11.9M
Insurance companies
Clients
436
Regulatory AUM
$1,423,995,873
Share
0.2%
Avg. per client
$3.27M
Sovereign wealth funds and foreign official institutions
Clients
34
Regulatory AUM
$399,241,341
Share
0.0%
Avg. per client
$11.7M
Corporations and other businesses
Clients
27,490
Regulatory AUM
$94,464,867,272
Share
10.3%
Avg. per client
$3.44M
Other
Clients
284
Regulatory AUM
$5,527,901,475
Share
0.6%
Avg. per client
$19.5M

Total

Clients
1,144,588
Regulatory AUM
$915,793,138,114
Share
100%
Avg. per client
$800K

What it does

UBS Financial Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, publishing newsletters, security ratings or pricing and educational seminars. It is paid through a percentage of assets, hourly charges, fixed fees, commissions and other arrangements.

UBS Financial Services provided financial planning to 1,000 clients last fiscal year and advises no private funds.

44.0% of assets ($402.98B across 410,763 accounts) are managed with discretion; $512.81B across 733,546 accounts are not. $901.98B sits in a wrap fee program the firm both sponsors and manages. 1% of clients are outside the U.S., and 18,245 clients received advice without assets under management last fiscal year.

What the accounts hold

Separately managed account assets by class, year end
  • Stocks43%
  • Funds40%
    • Registered funds39%
    • Pooled vehicles1%
  • Bonds15%
    • State and local bonds8%
    • Investment grade corporate bonds4%
    • U.S. government and agency bonds3%
  • Cash2%

Custodians

UBS Financial Services has custody of $929.37B for 1,155,333 clients.

Managed account assets by custodian
  • All other custodians$915.79B100%

Ownership and leadership

UBS Americas Inc. owns 75% or more of UBS Financial Services.

Who owns the firm
UBS Financial Services Inc.· the adviser

  • UBS Americas Inc.

    Control person · since November 2000

    Owns 75% or more of UBS Financial Services Inc.

Leadership

  • Michael Alan Camacho
    President
  • Lisa M. Francomano
    Chief Compliance Officer for the Advisory Business
  • Lauren Munfa
    Chief Compliance Officer
  • Ralph Mattone
    Principal Financial Officer
  • Peter Mozer
    Managing Director
  • Kiye Sakai
    General Counsel
  • Joseph Somma
    Principal Operations Officer

Staff

  • 12,524 employees
  • 9,149 in advisory functions
  • 9,149 state-registered reps
  • 10,948 broker-dealer reps
  • 5,553 insurance agents
  • 144 soliciting firms

Fees

UBS Financial Services is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees), commissions and other.

UBS Financial Services’ fee rates are not included in this profile. Find its brochure on the SEC’s site.

Offices and registrations

Besides its headquarters, UBS Financial Services has 369 offices, with 26 listed addresses across 14 states.

Listed office addresses by state

New Jersey · 1 listed address

  • 1200 Harbor Boulevard, WeehawkenHQ

Other business names

UBS Financial Services has reported 1 other business name to the SEC.

  • UBS Financial Services Inc.

Registration details

Legal name
UBS Financial Services Inc.
Headquarters
1200 Harbor Boulevard, Weehawken, NJ 07086
Phone
201-352-3000
Website
Not reported
SEC file
801-7163
Structure
Delaware corporation
Fiscal year end
December

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov

Common questions

How many clients does UBS Financial Services have?

UBS Financial Services has 1,144,588 clients and manages $915.8 billion for them, as of August 2026. They include 853,775 high-net-worth individuals, 244,284 other individuals and 27,490 corporations and other businesses.

Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 August 2026

What services does UBS Financial Services offer?

UBS Financial Services provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, publishing newsletters, security ratings or pricing and educational seminars.

Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file

How many financial advisors does UBS Financial Services have?

UBS Financial Services has 9,149 investment adviser representatives registered with state securities authorities, out of 12,524 employees, and 9,149 perform investment advisory functions. 10,948 are registered representatives of a broker-dealer and 5,553 are licensed insurance agents.

Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file

What does UBS Financial Services invest in?

At the end of its last fiscal year, UBS Financial Services’ separately managed accounts held 43% exchange-traded equities, 39% registered funds (mutual funds, ETFs, BDCs), 8% state and local bonds, 4% investment grade corporate bonds, 3% U.S. government and agency bonds, 2% cash and equivalents and 1% pooled vehicles (private funds and similar). It advises no private funds of its own.

Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file

Who owns UBS Financial Services?

UBS Financial Services is owned through a chain of holding companies by UBS Group Ag. Its direct owner is UBS Americas Inc. (75% or more).

Source: Form ADV Part 1A, Schedules A and B, filed 25 August 2026

How does UBS Financial Services get paid?

UBS Financial Services is paid through a percentage of assets under management, hourly charges, fixed fees, commissions and other arrangements. Its Form ADV lists no performance-based fees among how it is paid.

Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file

Sources

  1. Form ADV Part 1A, amendment filed 25 August 2026. Items 1, 5, 9, 11 and Schedules A, B and D.
  2. IAPD firm record, CRD 8174.

Retrieved 15 October 2026. All are published by the SEC and may have been amended since.

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This profile is compiled from public regulatory filings and is provided for informational purposes only. Niva Wealth is not affiliated with UBS Financial Services Inc. and makes no representation about the quality of its services. Figures reflect the filing dates shown and may have changed. Ownership percentages are the bands reported to the SEC, not exact figures.