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UBS FINANCIAL SERVICES INC.
CRD 8174File 801-7163
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jun 25, 2026
Feed vintage Aug 17, 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 |
|---|---|---|---|
| Aug 17, 2026 | Clients | 1144588 | 1144304 |
| Aug 12, 2026 | Registration | — | APPROVED |
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.