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UBS FINANCIAL SERVICES INC.
CRD 8174File 801-7163
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$915.79B
Top 10% of cohort (national)
Discretionary AUM
$402.98B
Non-discretionary $512.81B
Clients
1,144,304
1,144,309 accounts
Employees
12,524
Top 10% of cohort in NJ
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jan 22, 1971
- Principal office
- 1200 HARBOR BOULEVARD, WEEHAWKEN, NJ, 07086
- Phone
- 201-352-3000
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $915.79B
- Discretionary AUM
- $402.98B
- Non-discretionary AUM
- $512.81B
- Discretionary accounts
- 410,763
- Non-discretionary accounts
- 733,546
- Total accounts
- 1,144,309
- AUM per client
- $800K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 27,490 | $94.46B |
| Non-U.S. persons | 34 | $399.2M |
| Insurance companies | 436 | $1.42B |
| Charitable organizations | 8,053 | $21.44B |
| High net worth individuals | 853,775 | $714.55B |
| Pooled investment vehicles | 24 | $71.3M |
| Banking or thrift institutions | 8 | $59.3M |
| Pension and profit sharing plans | 9,843 | $26.43B |
| State or municipal government entities | 357 | $4.26B |
| Individuals (other than high net worth individuals) | 244,284 | $47.16B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Fixed fees
- Commissions
- Hourly charges
- Other (described) — SEE SCHEDULE D - MISCELLANEOUS
- A percentage of assets under your management
Advisory activities
- Other
- Publications
- Securities recommendations
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- Yes
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11F
- Q11G
- Q11A1
- Q11A2
- Q11B1
- Q11B2
- Q11C1
- Q11C2
- Q11C3
- Q11C4
- Q11C5
- Q11D1
- Q11D2
- Q11D3
- Q11D4
- Q11D5
- Q11E1
- Q11E2
- Q11E4
- Q11H2
- Q11H1A
- Q11H1B
- Q11H1C
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 1,144,588 | 1,144,304 | decreased by284 |
| Apr 1, 2026 | Employees | 12,629 | 12,524 | decreased by105 |
| Apr 1, 2026 | Clients | 1,134,581 | 1,144,588 | increased by10,007 |
| Apr 1, 2026 | AUM | $808,822,670,899 | $915,793,138,114 | increased by$106,970,467,215 |
| Apr 1, 2026 | Accounts | 1,134,923 | 1,144,309 | increased by9,386 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 12,710 | 12,629 | decreased by81 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,086,929 | 1,134,581 | increased by47,652 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $692,292,245,524 | $808,822,670,899 | increased by$116,530,425,375 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,073,865 | 1,134,923 | increased by61,058 |
| Apr 1, 2022 | Employees | 15,009 | 12,710 | decreased by2,299 |
| Apr 1, 2022 | Clients | 1,023,136 | 1,086,929 | increased by63,793 |
| Apr 1, 2022 | AUM | $572,470,625,699 | $692,292,245,524 | increased by$119,821,619,825 |
| Apr 1, 2022 | Accounts | 1,003,533 | 1,073,865 | increased by70,332 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “UBS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“UBS FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.