Broker-dealer firm · Weehawken, NJ
UBS Financial Services Inc.
SEC-registered investment adviser · CRD 8174 · SEC 801-7163
At a glance
UBS Financial Services Inc. is an SEC-registered investment adviser based in Weehawken, New Jersey, with $915.8 billion in regulatory assets under management as of its Form ADV filed August 25, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 1,098,059 individual clients. By Form ADV it is a broker-dealer firm, ranked 4th of 391 broker-dealer firms and 27th of 17,210 SEC-registered advisers by assets.
Main office 201-352-3000ubs.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $916B
- Rank among broker-dealer firms
- #4 of 391
- Rank among all SEC RIAs
- #27 of 17,210
- Rank in New Jersey
- #3 of 392
- Individual clients
- 1,098,059
- High-net-worth clients
- 853,775
- Accounts
- 1,144,309
- Discretionary
- 44% of AUM
- Employees
- 12,524
- Advisory staff
- 9,149
- Offices
- 370
Owners and executives on its Form ADV
- Lisa M. FrancomanoChief Compliance Officer for the Advisory Business
- Joseph SommaPrincipal Operations Officer
- Ralph MattonePrincipal Financial Officer
- Kiye SakaiGeneral Counsel
- Lauren MunfaChief Compliance Officer
- Peter MozerManaging Director
- Michael Alan CamachoPresident
Custody and brokerage
Custodian
UBS Financial Services Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
UBS Financial Services Inc. is a hybrid RIA: 10,948 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: UBS AG, UBS Asset Management (americas) LLC, UBS Asset Management Credit Investments Group (UK) LTD and UBS Securities LLC.
- UBS AG
- UBS Asset Management (americas) LLC ↗CRD 106838
- UBS Asset Management Credit Investments Group (UK) LTD ↗CRD 113463
- UBS Securities LLC ↗CRD 7654
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 853,775 | $715B | 78% |
| Corporations or other businesses | 27,490 | $94B | 10% |
| Individuals | 244,284 | $47B | 5% |
| Pension and profit sharing plans | 9,843 | $26B | 3% |
| Charitable organizations | 8,053 | $21B | 2% |
| Other | 284 | $5.5B | <1% |
| State or municipal government entities | 357 | $4.3B | <1% |
| Insurance companies | 436 | $1.4B | <1% |
| Sovereign wealth funds and foreign official institutions | 34 | $399M | <1% |
| Pooled investment vehicles | 24 | $71M | <1% |
| Banking or thrift institutions | 8 | $59M | <1% |
Disciplinary disclosures
UBS Financial Services Inc. answers yes to 1,084 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 ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Periodicals or newsletters
- Security ratings or pricing
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
- Other
Form ADV and brochures on the SEC’s adviser search ↗ubs.com ↗
SEC and FINRA actions
- FINRA, Aug 3, 2026: $20MAnti-money laundering. Outcome in the release.Official release
AtlasMembers
The full record on UBS Financial Services Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 167 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does UBS Financial Services Inc. manage?
UBS Financial Services Inc. reports $915.8 billion in regulatory assets under management across 1,144,309 accounts, 44% of it on a discretionary basis, on its Form ADV filed August 25, 2026.
What kind of firm is UBS Financial Services Inc.?
UBS Financial Services Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are UBS Financial Services Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($714.6 billion, 853,775 clients); corporations or other businesses ($94.5 billion, 27,490 clients); individuals ($47.2 billion, 244,284 clients).
Does UBS Financial Services Inc. have any disciplinary history?
UBS Financial Services Inc. answers yes to 1,084 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.
Where these numbers come from
Every figure is UBS Financial Services Inc.’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 (2026-08-25), 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 →