Ubs Asset Management (Americas) LLC

Registered investment adviser · New York, NY · CRD #106838

Form ADV data as of 2026-09-01

Regulatory assets

$588.22 billion

Total accounts

433,784

Employees

574

Disclosure events

Firm details

Website: https://www.linkedin.com/showcase/ubs-asset-management/
Telephone: 212-713-2000
SEC file number: 801-34910
Most recent Form ADV filing: 2026-07-31
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 13 disclosure questions answered Yes, covering 60 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Convicted of or pled guilty/no contest to a felony (past 10 years)
Charged with a felony (past 10 years)
SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules
A court dismissed an investment-related civil action under a settlement agreement
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$563.95 billion
Non-discretionary regulatory assets under management	$24.27 billion
Total regulatory assets under management	$588.22 billion
Discretionary accounts	433,738
Non-discretionary accounts	46
Total accounts	433,784
Regulatory assets under management attributable to non-U.S. persons	$202.67 billion

People

Total employees (excluding clerical)	574
Employees performing investment advisory functions (including research)	260
Employees who are registered representatives of a broker-dealer	178
Employees registered as investment adviser representatives with a state	31
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	6

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	Yes
A related person has custody of client securities	Yes
Client funds and securities held in a related person's custody	$274.95 billion
Clients for whom a related person has custody	414,973
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	Yes
Number of persons acting as qualified custodians for the firm's clients	5

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)Performance-based fees

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)

Other business activities

Commodity pool operator or commodity trading advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchantBanking or thrift institutionTrust companyInsurance company or agencyPension consultantSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys securities from or sells securities to advisory clients (principal transactions)
Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Executes agency cross transactions involving advisory client securities
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons
Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	326,365	$95.93 billion
High net worth individuals	88,963	$105.17 billion
Banking or thrift institutions	1,168	$1.42 billion
Investment companies	62	$96.19 billion
Pooled investment vehicles (other than investment companies and BDCs)	360	$184.41 billion
Pension and profit sharing plans (not the participants or government plans)	14	$3.12 billion
Charitable organizations	2,743	$4.32 billion
State or municipal government entities (including government pension plans)	141	$9.41 billion
Other investment advisers	7	$1.83 billion
Insurance companies	191	$4.47 billion
Sovereign wealth funds and foreign official institutions	18	$50.62 billion
Corporations or other businesses not listed above	13,703	$28.45 billion
Other	49	$2.88 billion