{
  "crd_number": 106838,
  "slug": "ubs-asset-management-americas-llc-new-york-ny-106838",
  "primary_business_name": "UBS ASSET MANAGEMENT (AMERICAS) LLC",
  "legal_name": "UBS ASSET MANAGEMENT (AMERICAS) LLC",
  "dbas": [
    "UBS AM",
    "UBS ASSET MANAGEMENT",
    "UBS CREDIT INVESTMENTS GROUP",
    "UBS GLOBAL REAL ASSETS AMERICAS",
    "UBS SUSTAINABLE INVESTORS",
    "UBS UNIFIED GLOBAL ALTERNATIVES"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1989-09-11",
  "years_registered": 37,
  "period": "2026-10-01",
  "filing_date": "2026-07-31",
  "carried_forward": false,
  "raum_total": 588219618121.0,
  "raum_discretionary": 563949029253.0,
  "raum_non_discretionary": 24270588868.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 574,
  "advisory_employees": 260,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 2877074118.0,
      "count": 49,
      "description": "TRUST COMPANIES AND UNCATEGORIZED WRAP FEE ACCOUNTS"
    },
    "charitable": {
      "raum": 4323717908.0,
      "count": 2743
    },
    "individuals": {
      "raum": 95925634042.0,
      "count": 326365
    },
    "banking_thrift": {
      "raum": 1420731985.0,
      "count": 1168
    },
    "state_municipal": {
      "raum": 9412133658.0,
      "count": 141
    },
    "insurance_companies": {
      "raum": 4469634438.0,
      "count": 191
    },
    "investment_companies": {
      "raum": 96193470097.0,
      "count": 62
    },
    "pension_profit_sharing": {
      "raum": 3122057066.0,
      "count": 14
    },
    "other_investment_advisers": {
      "raum": 1826368976.0,
      "count": 7
    },
    "high_net_worth_individuals": {
      "raum": 105170267682.0,
      "count": 88963
    },
    "pooled_investment_vehicles": {
      "raum": 184407693765.0,
      "count": 360
    },
    "corporations_other_businesses": {
      "raum": 28452781145.0,
      "count": 13703
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 50618053241.0,
      "count": 18
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "pension_consulting",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 13,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VI",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://linkedin.com/showcase/ubs-asset-management",
    "https://ubs.com/us/en/assetmanagement.html"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106838",
  "disclosure_items": [
    {
      "item": "11.A(1)",
      "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?"
    },
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/ubs-asset-management-americas-llc-new-york-ny-106838",
  "display_name": "UBS Asset Management (Americas) LLC",
  "summary": "UBS Asset Management (Americas) LLC is an SEC-registered investment advisory firm in New York, NY, registered since 1989, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 31, 2026.",
  "citation": "AdvisorCensus. UBS Asset Management (Americas) LLC (CRD 106838): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development 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)"
  ],
  "quick_answers": [
    {
      "q": "How is UBS Asset Management (Americas) LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), UBS Asset Management (Americas) LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is UBS Asset Management (Americas) LLC located?",
      "a": "UBS Asset Management (Americas) LLC's principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 15 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is UBS Asset Management (Americas) LLC registered with the SEC or a state?",
      "a": "UBS Asset Management (Americas) LLC is an SEC-registered investment advisory firm, registered since 1989. Status as filed: Approved. CRD 106838."
    },
    {
      "q": "How much does UBS Asset Management (Americas) LLC manage?",
      "a": "UBS Asset Management (Americas) LLC reports $588,219,618,121 in regulatory assets under management in its Form ADV filing dated July 31, 2026 (96% discretionary)."
    },
    {
      "q": "How have UBS Asset Management (Americas) LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for UBS Asset Management (Americas) LLC: Regulatory assets under management: $269,172,888,864 in the October 2021 data and $588,219,618,121 in the October 2026 data, up 119%. Total employees: 381 in October 2021 and 574 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does UBS Asset Management (Americas) LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (326,365); high net worth individuals (88,963); corporations or other businesses not listed above (13,703)."
    },
    {
      "q": "Which custodians does UBS Asset Management (Americas) LLC use?",
      "a": "UBS Asset Management (Americas) LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists State Street Bank and Trust Company, London and UBS Financial Services Inc. (affiliated with the firm) as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does UBS Asset Management (Americas) LLC report any disciplinary disclosures?",
      "a": "Reports 13 disclosure items on Form ADV Item 11: yes answers to 2 questions about criminal matters, 9 questions about regulatory matters, and 2 questions about civil court matters (11.A(1), 11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(2), 11.H(1)(c), 11.H(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106838"
    },
    {
      "q": "What changed in UBS Asset Management (Americas) LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: No longer lists the business name O'Connor. Employees performing advisory functions went from 263 to 260. Changed its office addresses in Los Angeles, CA. Changed its office addresses in Washington, DC. Added an office in Munchen. Added an office in Sydney. No longer lists an office in Fort Lauderdale, FL. No longer lists an office in Krakow. No longer lists an office in Nashville, TN. No longer lists an office in Shanghai. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 269172888864.0,
      "total_employees": 381,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 299705759037.0,
      "total_employees": 372,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 300881452905.0,
      "total_employees": 380,
      "filing_date": "2023-07-11"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 477863691247.0,
      "total_employees": 823,
      "filing_date": "2024-08-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 542245991275.0,
      "total_employees": 792,
      "filing_date": "2025-07-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 588219618121.0,
      "total_employees": 574,
      "filing_date": "2026-07-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "No longer lists the business name O'Connor.",
        "Employees performing advisory functions went from 263 to 260.",
        "Changed its office addresses in Los Angeles, CA.",
        "Changed its office addresses in Washington, DC.",
        "Added an office in Munchen.",
        "Added an office in Sydney.",
        "No longer lists an office in Fort Lauderdale, FL.",
        "No longer lists an office in Krakow.",
        "No longer lists an office in Nashville, TN.",
        "No longer lists an office in Shanghai.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "State Street Bank and Trust Company, London",
      "name_as_filed": "STATE STREET BANK AND TRUST COMPANY, LONDON",
      "affiliated": false
    },
    {
      "name": "UBS Financial Services Inc.",
      "name_as_filed": "UBS FINANCIAL SERVICES INC.",
      "affiliated": true
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/ubs-asset-management-americas-llc-new-york-ny-106838.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 326365,
      "fewer_than_5": false,
      "raum": 95925634042.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 88963,
      "fewer_than_5": false,
      "raum": 105170267682.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 1168,
      "fewer_than_5": false,
      "raum": 1420731985.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 62,
      "fewer_than_5": false,
      "raum": 96193470097.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 360,
      "fewer_than_5": false,
      "raum": 184407693765.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 14,
      "fewer_than_5": false,
      "raum": 3122057066.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 2743,
      "fewer_than_5": false,
      "raum": 4323717908.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 141,
      "fewer_than_5": false,
      "raum": 9412133658.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 7,
      "fewer_than_5": false,
      "raum": 1826368976.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 191,
      "fewer_than_5": false,
      "raum": 4469634438.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 18,
      "fewer_than_5": false,
      "raum": 50618053241.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 13703,
      "fewer_than_5": false,
      "raum": 28452781145.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 49,
      "fewer_than_5": false,
      "raum": 2877074118.0
    }
  ],
  "disclosure_line": "Reports 13 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106838",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}