{ "crd_number": 173081, "slug": "ubs-asset-management-funds-ltd-london-173081", "primary_business_name": "UBS ASSET MANAGEMENT FUNDS LTD", "legal_name": "UBS ASSET MANAGEMENT FUNDS LTD", "dbas": [], "city": "London", "state": null, "country": "United Kingdom", "cbsa_code": null, "metro": null, "registration_type": "exempt", "registration_status": "ERA - Active", "registration_date": "2015-04-01", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-03-25", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": null, "advisory_employees": null, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [], "advisory_activities": [], "wrap_fee_participant": null, "disclosure_yes_count": 14, "states_registered": [], "websites": [ "https://linkedin.com/showcase/ubs-asset-management", "https://ubs.com/global/en/assetmanagement.html", "https://youtube.com/playlist?list=PLwb3qYuADBotjVHaxQ48uzLip-uv7P98y" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/173081", "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)(a)", "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?" }, { "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": "LONDON", "url": "https://advisorcensus.com/firm/ubs-asset-management-funds-ltd-london-173081", "display_name": "UBS Asset Management Funds Ltd", "summary": "UBS Asset Management Funds Ltd is an exempt reporting adviser in London, United Kingdom, filing reports since 2015. Exempt reporting advisers do not report regulatory assets under management on Form ADV.", "citation": "AdvisorCensus. UBS Asset Management Funds Ltd (CRD 173081): Form ADV filing data as of October 2026.", "registration_type_label": "Exempt reporting adviser", "compensation_labels": [], "advisory_activity_labels": [], "quick_answers": [ { "q": "Where is UBS Asset Management Funds Ltd located?", "a": "UBS Asset Management Funds Ltd's principal office is in London, United Kingdom, according to its Form ADV." }, { "q": "How does UBS Asset Management Funds Ltd report to regulators?", "a": "UBS Asset Management Funds Ltd is an exempt reporting adviser, filing reports since 2015. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 173081." }, { "q": "Does UBS Asset Management Funds Ltd report any disciplinary disclosures?", "a": "Reports 14 disclosure items on Form ADV Item 11: yes answers to 2 questions about criminal matters, 9 questions about regulatory matters, and 3 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)(a), 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 public record on IAPD: https://adviserinfo.sec.gov/firm/summary/173081" }, { "q": "What changed in UBS Asset Management Funds Ltd's recent Form ADV filings?", "a": "In the April 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2021-03-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2022-03-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2024-03-27" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2026-03-25" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/ubs-asset-management-funds-ltd-london-173081.md", "clients": [], "disclosure_line": "Reports 14 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/173081", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }