{ "crd_number": 313696, "slug": "ubs-asset-managers-of-puerto-rico-san-juan-pr-313696", "primary_business_name": "UBS ASSET MANAGERS OF PUERTO RICO", "legal_name": "UBS TRUST COMPANY OF PUERTO RICO", "dbas": [], "city": "San Juan", "state": "PR", "country": "United States", "cbsa_code": "41980", "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2021-04-16", "years_registered": 5, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 1377018437.0, "raum_discretionary": 1377018437.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 6, "advisory_employees": 6, "client_count_bucket": null, "clients_by_type": { "investment_companies": { "raum": 1377018437.0, "count": 19 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_investment_companies" ], "wrap_fee_participant": false, "disclosure_yes_count": 1, "states_registered": [ "PR" ], "websites": [ "https://ubs.com/prfunds" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/313696", "disclosure_items": [ { "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?" } ], "city_as_filed": "SAN JUAN", "url": "https://advisorcensus.com/firm/ubs-asset-managers-of-puerto-rico-san-juan-pr-313696", "display_name": "UBS Asset Managers of Puerto Rico", "summary": "UBS Asset Managers of Puerto Rico is an SEC-registered investment advisory firm in San Juan, PR, registered since 2021, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. UBS Asset Managers of Puerto Rico (CRD 313696): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for investment companies (and business development companies)" ], "quick_answers": [ { "q": "How is UBS Asset Managers of Puerto Rico compensated?", "a": "On its Form ADV (Item 5.E, October 2026), UBS Asset Managers of Puerto Rico reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is UBS Asset Managers of Puerto Rico located?", "a": "UBS Asset Managers of Puerto Rico's principal office is in San Juan, PR, according to its Form ADV." }, { "q": "Is UBS Asset Managers of Puerto Rico registered with the SEC or a state?", "a": "UBS Asset Managers of Puerto Rico is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 313696." }, { "q": "How much does UBS Asset Managers of Puerto Rico manage?", "a": "UBS Asset Managers of Puerto Rico reports $1,377,018,437 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have UBS Asset Managers of Puerto Rico's assets and staff changed since 2021?", "a": "In the Form ADV data for UBS Asset Managers of Puerto Rico: Regulatory assets under management: $2,281,884,168 in the October 2021 data and $1,377,018,437 in the October 2026 data, down 40%. Total employees: 11 in October 2021 and 6 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 Managers of Puerto Rico serve?", "a": "By number of clients on Form ADV Item 5.D: investment companies (19)." }, { "q": "Does UBS Asset Managers of Puerto Rico report any disciplinary disclosures?", "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.H(1)(c) (regulator's civil action dismissed under a settlement). 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/313696" }, { "q": "What changed in UBS Asset Managers of Puerto Rico's recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 5 to 6. Regulatory assets under management went from $1,775,120,599 to $1,377,018,437 (-22%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 2281884168.0, "total_employees": 11, "filing_date": "2021-08-13" }, { "period": "2022-10-01", "regulatory_assets_under_management": 2170708015.0, "total_employees": 12, "filing_date": "2022-03-31" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1726355049.0, "total_employees": 11, "filing_date": "2023-09-22" }, { "period": "2024-10-01", "regulatory_assets_under_management": 1814755800.0, "total_employees": 11, "filing_date": "2024-07-02" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1775120599.0, "total_employees": 5, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": 1377018437.0, "total_employees": 6, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 5 to 6.", "Regulatory assets under management went from $1,775,120,599 to $1,377,018,437 (-22%).", "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-managers-of-puerto-rico-san-juan-pr-313696.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 19, "fewer_than_5": false, "raum": 1377018437.0 } ], "disclosure_line": "Reports 1 disclosure item 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/313696", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }