{ "crd_number": 8174, "slug": "ubs-financial-services-inc-weehawken-nj-8174", "primary_business_name": "UBS FINANCIAL SERVICES INC.", "legal_name": "UBS FINANCIAL SERVICES INC.", "dbas": [ "UBS FINANCIAL SERVICES INC." ], "city": "Weehawken", "state": "NJ", "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": "1971-01-22", "years_registered": 55, "period": "2026-10-01", "filing_date": "2026-08-25", "carried_forward": false, "raum_total": 915793138114.0, "raum_discretionary": 402983233661.0, "raum_non_discretionary": 512809904453.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 12524, "advisory_employees": 9149, "client_count_bucket": null, "clients_by_type": { "other": { "raum": 5527901475.0, "count": 284, "description": "OTHER INCLUDES TRIBAL ENTITIES AND INVESTMENT CLUBS" }, "charitable": { "raum": 21440819140.0, "count": 8053 }, "individuals": { "raum": 47162393254.0, "count": 244284 }, "banking_thrift": { "raum": 59326825.0, "count": 8 }, "state_municipal": { "raum": 4257097099.0, "count": 357 }, "insurance_companies": { "raum": 1423995873.0, "count": 436 }, "investment_companies": { "raum": 0.0, "count": 0 }, "pension_profit_sharing": { "raum": 26434806263.0, "count": 9843 }, "other_investment_advisers": { "raum": 0.0, "count": 0 }, "high_net_worth_individuals": { "raum": 714551348001.0, "count": 853775 }, "pooled_investment_vehicles": { "raum": 71341571.0, "count": 24 }, "corporations_other_businesses": { "raum": 94464867272.0, "count": 27490 }, "business_development_companies": { "raum": 0.0, "count": 0 }, "sovereign_wealth_foreign_official": { "raum": 399241341.0, "count": 34 } }, "compensation_types": [ "commissions", "fixed", "hourly", "other", "percentage_of_aum" ], "advisory_activities": [ "educational_seminars", "financial_planning", "pension_consulting", "periodicals_newsletters", "portfolio_management_businesses_institutional", "portfolio_management_individuals", "security_ratings_pricing", "selection_of_other_advisers" ], "wrap_fee_participant": true, "disclosure_yes_count": 23, "states_registered": [ "AK", "AL", "AR", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VI", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://instragram.com/ubstrending", "https://linkedin.com/IN/john-s-mathews-36557b1b", "https://linkedin.com/in/bill-carroll-a23825162", "https://linkedin.com/in/jason-chandler-aa26186", "https://linkedin.com/in/jennifer-povlitz-vision-values", "https://linkedin.com/in/michael-camacho-5531222a3", "https://linkedin.com/in/solita-marcelli-ubs", "https://linkedin.com/in/uhb-ubs/ Ulrike Hoffmann-Burchardi", "https://linkedin.com/showcase/ubs-gwm", "https://twitter.com/UBS", "https://ubs.com/global/en/legal/social-legal.HTML", "https://ubs.com/us/en/wealth-management.html", "https://youtube.com/@ubsathletesandentertainers" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/8174", "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.B(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 misdemeanor involving investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these?" }, { "item": "11.B(2)", "question": "In the past ten years, has the firm or an advisory affiliate been charged with one of the misdemeanors listed in 11.B(1)?" }, { "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(3)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "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(3)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?" }, { "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(1)", "question": "Has a self-regulatory organization (such as FINRA) or a commodities exchange ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "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.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" }, { "item": "11.F", "question": "Has an authorization to act as an attorney, accountant, or federal contractor granted to the firm or an advisory affiliate ever been revoked or suspended?" }, { "item": "11.G", "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?" }, { "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)(b)", "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?" }, { "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": "WEEHAWKEN", "url": "https://advisorcensus.com/firm/ubs-financial-services-inc-weehawken-nj-8174", "display_name": "UBS Financial Services Inc.", "summary": "UBS Financial Services Inc. is an SEC-registered investment advisory firm in Weehawken, NJ, registered since 1971, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 25, 2026.", "citation": "AdvisorCensus. UBS Financial Services Inc. (CRD 8174): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Hourly charges", "Fixed fees (other than subscription fees)", "Commissions", "Other" ], "advisory_activity_labels": [ "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" ], "quick_answers": [ { "q": "How is UBS Financial Services Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), UBS Financial Services Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); commissions; other." }, { "q": "What does UBS Financial Services Inc.'s brochure say about its fees?", "a": "Its Form ADV Part 2A brochure dated March 31, 2026 states: Asset-based fee: up to 2% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is UBS Financial Services Inc. located?", "a": "UBS Financial Services Inc.'s principal office is in Weehawken, NJ, according to its Form ADV; the September 2026 filing also lists 19 other offices (Schedule D, Section 1.F)." }, { "q": "Is UBS Financial Services Inc. registered with the SEC or a state?", "a": "UBS Financial Services Inc. is an SEC-registered investment advisory firm, registered since 1971. Status as filed: Approved. CRD 8174." }, { "q": "How much does UBS Financial Services Inc. manage?", "a": "UBS Financial Services Inc. reports $915,793,138,114 in regulatory assets under management in its Form ADV filing dated August 25, 2026 (44% discretionary)." }, { "q": "How have UBS Financial Services Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for UBS Financial Services Inc.: Regulatory assets under management: $572,470,625,699 in the October 2021 data and $915,793,138,114 in the October 2026 data, up 60%. Total employees: 15,009 in October 2021 and 12,524 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does UBS Financial Services Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (853,775); individuals (other than high net worth individuals) (244,284); corporations or other businesses not listed above (27,490)." }, { "q": "Does UBS Financial Services Inc. report any disciplinary disclosures?", "a": "Reports 23 disclosure items on Form ADV Item 11: yes answers to 4 questions about criminal matters, 15 questions about regulatory matters, and 4 questions about civil court matters (11.A(1), 11.A(2), 11.B(1), 11.B(2), 11.C(1), 11.C(2), 11.C(3), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(3), 11.D(4), 11.D(5), 11.E(1), 11.E(2), 11.E(4), 11.F, 11.G, 11.H(1)(a), 11.H(1)(b), 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/8174" }, { "q": "What changed in UBS Financial Services Inc.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 9944 to 9149. Regulatory assets under management went from $808,822,670,899 to $915,793,138,114 (+13%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 572470625699.0, "total_employees": 15009, "filing_date": "2021-09-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 692292245524.0, "total_employees": 12710, "filing_date": "2022-08-18" }, { "period": "2023-10-01", "regulatory_assets_under_management": 600808847012.0, "total_employees": 13059, "filing_date": "2023-08-09" }, { "period": "2024-10-01", "regulatory_assets_under_management": 702387082915.0, "total_employees": 12701, "filing_date": "2024-06-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": 808822670899.0, "total_employees": 12629, "filing_date": "2025-04-01" }, { "period": "2026-10-01", "regulatory_assets_under_management": 915793138114.0, "total_employees": 12524, "filing_date": "2026-08-25" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 9944 to 9149.", "Regulatory assets under management went from $808,822,670,899 to $915,793,138,114 (+13%).", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated March 31, 2026", "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": "2% of assets a year", "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: up to 2% of assets a year (the maximum the brochure states)" ], "quotes": [ "RPCS Fees are negotiable and, if ongoing services are being provided, are expressed as an annual rate. Generally, the minimum annual RPCS Fee is $6,000. The maximum annual RPCS Fee is 2.00% based on the amount of eligible plan assets.", "RPGS Fees are negotiable and generally expressed as an annual rate. The maximum annual RPGS Fee is 2.00% based on the amount of eligible plan assets. There is no minimum annual RPGS Fee." ] } ], "quotes": [ "RPCS Fees are negotiable and, if ongoing services are being provided, are expressed as an annual rate. Generally, the minimum annual RPCS Fee is $6,000. The maximum annual RPCS Fee is 2.00% based on the amount of eligible plan assets.", "RPGS Fees are negotiable and generally expressed as an annual rate. The maximum annual RPGS Fee is 2.00% based on the amount of eligible plan assets. There is no minimum annual RPGS Fee." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/ubs-financial-services-inc-weehawken-nj-8174.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 244284, "fewer_than_5": false, "raum": 47162393254.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 853775, "fewer_than_5": false, "raum": 714551348001.0 }, { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 8, "fewer_than_5": false, "raum": 59326825.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "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": 24, "fewer_than_5": false, "raum": 71341571.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 9843, "fewer_than_5": false, "raum": 26434806263.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 8053, "fewer_than_5": false, "raum": 21440819140.0 }, { "type": "state_municipal", "label": "State or municipal government entities (including government pension plans)", "count": 357, "fewer_than_5": false, "raum": 4257097099.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 0, "fewer_than_5": false, "raum": 0.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 436, "fewer_than_5": false, "raum": 1423995873.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": 34, "fewer_than_5": false, "raum": 399241341.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 27490, "fewer_than_5": false, "raum": 94464867272.0 }, { "type": "other", "label": "Other", "count": 284, "fewer_than_5": false, "raum": 5527901475.0 } ], "disclosure_line": "Reports 23 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/8174", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }