# UBS Asset Managers of Puerto Rico

> 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.

- CRD: 313696
- Filed as: UBS ASSET MANAGERS OF PUERTO RICO
- Legal name: UBS Trust Company of Puerto Rico
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Juan, PR
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/313696
- AdvisorCensus page: https://advisorcensus.com/firm/ubs-asset-managers-of-puerto-rico-san-juan-pr-313696

## Quick answers

**How is UBS Asset Managers of Puerto Rico compensated?**
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.

**Where is UBS Asset Managers of Puerto Rico located?**
UBS Asset Managers of Puerto Rico's principal office is in San Juan, PR, according to its Form ADV.

**Is UBS Asset Managers of Puerto Rico registered with the SEC or a state?**
UBS Asset Managers of Puerto Rico is an SEC-registered investment advisory firm, registered since 2021. Status as filed: Approved. CRD 313696.

**How much does UBS Asset Managers of Puerto Rico manage?**
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).

**How have UBS Asset Managers of Puerto Rico's assets and staff changed since 2021?**
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.

**What types of clients does UBS Asset Managers of Puerto Rico serve?**
By number of clients on Form ADV Item 5.D: investment companies (19).

**Does UBS Asset Managers of Puerto Rico report any disciplinary disclosures?**
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

**What changed in UBS Asset Managers of Puerto Rico's recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $1,377,018,437
- Discretionary: $1,377,018,437
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 19 | $1,377,018,437 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2021 (5 years)
- Employees: 6 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: PR
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.H(1)(c): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/313696

### Websites listed on Form ADV (Item 1.I)
- ubs.com/prfunds

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,281,884,168 | 11 | August 13, 2021 |
| October 2022 | $2,170,708,015 | 12 | March 31, 2022 |
| October 2023 | $1,726,355,049 | 11 | September 22, 2023 |
| October 2024 | $1,814,755,800 | 11 | July 2, 2024 |
| October 2025 | $1,775,120,599 | 5 | March 27, 2025 |
| October 2026 | $1,377,018,437 | 6 | March 30, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. UBS Asset Managers of Puerto Rico (CRD 313696): Form ADV filing data as of October 2026.