{"url":"https://nivawealth.com/firms/ubs-financial-services-8174","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/8174","regulatoryAum":915793138114,"crd":"8174","secFileNumber":"801-7163","legalName":"UBS Financial Services Inc.","displayName":"UBS Financial Services","website":null,"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"1200 Harbor Boulevard","city":"Weehawken","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"07086"},"tradeNames":["UBS Financial Services Inc."],"registration":{"secApproved":"22 January 1971","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":12524,"advisory":9149,"brokerDealerReps":10948,"insuranceAgents":5553,"promoters":144},"aum":{"discretionary":402983233661,"discretionaryAccounts":410763,"nonDiscretionary":512809904453,"nonDiscretionaryAccounts":733546,"wrapProgram":901979617598,"nonUsClientsPct":1,"nonAumClients":18245},"clientTypes":[{"label":"Individuals (other than HNW)","clients":244284,"regulatoryAum":47162393254},{"label":"High-net-worth individuals","clients":853775,"regulatoryAum":714551348001},{"label":"Banking or thrift institutions","clients":8,"regulatoryAum":59326825},{"label":"Pooled investment vehicles","clients":24,"regulatoryAum":71341571},{"label":"Pension and profit-sharing plans","clients":9843,"regulatoryAum":26434806263},{"label":"Charitable organizations","clients":8053,"regulatoryAum":21440819140},{"label":"State or municipal government entities","clients":357,"regulatoryAum":4257097099},{"label":"Insurance companies","clients":436,"regulatoryAum":1423995873},{"label":"Sovereign wealth funds and foreign official institutions","clients":34,"regulatoryAum":399241341},{"label":"Corporations and other businesses","clients":27490,"regulatoryAum":94464867272},{"label":"Other","clients":284,"regulatoryAum":5527901475}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"UBS Financial Services has custody of $929.37B for 1,155,333 clients.","otherCustodians":[],"leadership":[{"name":"Michael Alan Camacho","title":"President","crd":"2907298"},{"name":"Lisa M. Francomano","title":"Chief Compliance Officer for the Advisory Business","crd":"2263875"},{"name":"Lauren Munfa","title":"Chief Compliance Officer","crd":"4431011"},{"name":"Ralph Mattone","title":"Principal Financial Officer","crd":"1840894"},{"name":"Peter Mozer","title":"Managing Director","crd":"2523858"},{"name":"Kiye Sakai","title":"General Counsel","crd":"7451987"},{"name":"Joseph Somma","title":"Principal Operations Officer","crd":"2219496"}],"ownership":[{"label":"UBS Americas Inc.","detail":"Owner in the 75% or more ownership band and a control person, since November 2000."},{"label":"UBS Ag","detail":"Indirect owner: a shareholder of UBS Americas Holding LLC in the 75% or more band and a control person, since November 2001.","parent":"UBS Americas Holding LLC"},{"label":"UBS Group Ag","detail":"Indirect owner: a shareholder 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":369,"privateResidences":0},"listedOfficeAddresses":26,"officesByState":[{"state":"California","offices":4,"addresses":[{"street":"888 San Clemente Drive","city":"Newport Beach"},{"street":"555 California ST","city":"San Francisco"},{"street":"2029 Century Park East","city":"Century City"},{"street":"131 South Rodeo Drive","city":"Beverly Hills"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"One State Street","city":"Hartford"}]},{"state":"District of Columbia","offices":1,"addresses":[{"street":"1501 K. Street NW","city":"Washington"}]},{"state":"Florida","offices":2,"addresses":[{"street":"550 Biltmore Way","city":"Coral Gables"},{"street":"100 Se 2nd Street","city":"Miami"}]},{"state":"Georgia","offices":2,"addresses":[{"street":"3280 Peachtree Road Ne","city":"Atlanta"},{"street":"3455 Peachtree RD. Ne","city":"Atlanta"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"1 North Wacker Drive","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"One Post Office Square","city":"Boston"}]},{"state":"Michigan","offices":1,"addresses":[{"street":"325 N Old Woodward Ave","city":"Birmingham"}]},{"state":"Minnesota","offices":1,"addresses":[{"street":"80 South 8th Street","city":"Minneapolis"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"1200 Harbor Boulevard","city":"Weehawken","headquarters":true}]},{"state":"New York","offices":6,"addresses":[{"street":"1285 Avenue of the Americas","city":"New York"},{"street":"1251 Ave of the Americas","city":"New York"},{"street":"787 7th Avenue","city":"New York"},{"street":"299 Park Avenue","city":"New York"},{"street":"1285 Avenue of the Americas","city":"New York"},{"street":"200 Park Ave","city":"New York"}]},{"state":"Ohio","offices":1,"addresses":[{"street":"The Towers at Kenwood","city":"Cincinnati"}]},{"state":"Texas","offices":3,"addresses":[{"street":"4400 Post Oak Parkway","city":"Houston"},{"street":"100 Crescent Court","city":"Dallas"},{"street":"98 San Jacinto BLVD","city":"Austin"}]},{"state":"Washington","offices":1,"addresses":[{"street":"925 4th Ave","city":"Seattle"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"201-352-3000","stateRegisteredReps":9149,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions","Other"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Publication of periodicals or newsletters","Security ratings or pricing services","Educational seminars/workshops"],"financialPlanningClients":"1000","assetMix":[{"label":"Exchange-traded equity securities","percent":43},{"label":"U.S. government/agency bonds","percent":3},{"label":"U.S. state and local bonds","percent":8},{"label":"Investment grade corporate bonds","percent":4},{"label":"Securities issued by registered investment companies or business development companies","percent":39},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"25 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/8174/PDF/8174.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 Financial Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does UBS Financial Services offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does UBS Financial Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does UBS Financial Services invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns UBS Financial Services?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does UBS Financial Services get paid?","answer":"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","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."}