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SEC data October 1, 2026
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SEC data October 1, 2026
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Sign in or start freeAsset manager · New York, NY
SEC-registered investment adviser · CRD 106838 · SEC 801-34910
At a glance
UBS Asset Management (americas) LLC is an SEC-registered investment adviser based in New York, New York, with $588.2 billion in regulatory assets under management as of its Form ADV filed July 31, 2026. Its largest client group by assets is pooled investment vehicles, and it reports 415,328 individual clients. By Form ADV it is a asset manager, ranked 29th of 3,218 asset managers and 43rd of 17,210 SEC-registered advisers by assets.
Main office 212-713-2000ubs.comLinkedInAs filed on Form ADV
Hybrid RIA
UBS Asset Management (americas) LLC is a hybrid RIA: 178 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: UBS AG, UBS Asset Management (US) Inc., UBS Financial Services Inc., UBS Fund Services (USA) LLC and UBS Securities LLC.
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, February 2026
Its Form ADV brochure (filed March 2026) names UBS Asset Management (US) as the broker-dealer its advisers are registered with.
A number of UBS AMA LLC’s management persons and personnel are also principals or registered representatives of UBS Asset Management (US) Inc.
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 360 | $184B | 31% |
| High-net-worth individuals | 88,963 | $105B | 18% |
| Investment companies | 62 | $96B | 16% |
| Individuals | 326,365 | $96B | 16% |
| Sovereign wealth funds and foreign official institutions | 18 | $51B | 9% |
| Corporations or other businesses | 13,703 | $28B | 5% |
| State or municipal government entities | 141 | $9.4B | 2% |
| Insurance companies | 191 | $4.5B | <1% |
| Charitable organizations | 2,743 | $4.3B | <1% |
| Pension and profit sharing plans | 14 | $3.1B | <1% |
| Other | 49 | $2.9B | <1% |
| Other investment advisers | 7 | $1.8B | <1% |
| Banking or thrift institutions | 1,168 | $1.4B | <1% |
UBS Asset Management (americas) LLC reports 139 private funds with $37B in gross assets: hedge funds, private equity funds, real estate funds, liquidity funds, securitized asset funds, other private funds (Form ADV Item 7.B).
UBS Asset Management (americas) LLC answers yes to 60 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
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UBS Asset Management (americas) LLC reports $588.2 billion in regulatory assets under management across 433,784 accounts, 96% of it on a discretionary basis, on its Form ADV filed July 31, 2026.
UBS Asset Management (americas) LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals. It reports a bank or thrift among its related persons. A public reporting company controls it.
By assets, its largest client types are pooled investment vehicles ($184.4 billion, 360 clients); high-net-worth individuals ($105.2 billion, 88,963 clients); investment companies ($96.2 billion, 62 clients).
Yes. It reports 139 private funds with $37.4 billion in gross assets, including hedge funds, private equity funds, real estate funds, liquidity funds, securitized asset funds, other private funds.
UBS Asset Management (americas) LLC answers yes to 60 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Every figure is UBS Asset Management (americas) LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →