SEC-registered wealth management firm Broker-dealer affiliated
UBS Financial Services Inc.
As of its Form ADV filed August 25, 2026, UBS Financial Services Inc., an SEC-registered, broker-dealer affiliated wealth management firm in Weehawken, New Jersey, reported $915.8 billion in regulatory assets under management across 1,144,309 accounts, ranking #1 among all wealth firms in New Jersey by assets.
Registration
- Registration
- SEC-registered, Approved
- CRD number
- 8174
- SEC file number
- 801-7163
- Registered since
- January 22, 1971
- Latest Form ADV filing
- August 25, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 369
Key figures
- Regulatory assets under management
- $915.8 billion
- Discretionary
- $403.0 billion (44.0%)
- Non-discretionary
- $512.8 billion
- Accounts
- 1,144,309 (410,763 discretionary)
- Clients
- 1,162,833, approximate as reported
- Employees
- 12,524
- Advisory staff
- 9,149 performing investment advisory functions
- Average account
- $800,302
- Asset growth, 1 year
- 13.2% (from $808.8 billion a year earlier)
- Asset growth, 3-year annual rate
- 15.1% (from $600.8 billion three years earlier)
- Asset growth, 5-year annual rate
- 9.9% (from $572.5 billion five years earlier)
- Client growth, 1 year
- 0.8% (from 1,154,158)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $177.6 billion |
| October 3, 2011 | $174.7 billion |
| October 1, 2012 | $185.3 billion |
| October 1, 2013 | $230.0 billion |
| October 1, 2014 | $272.3 billion |
| October 1, 2015 | $372.1 billion |
| October 3, 2016 | $358.3 billion |
| October 2, 2017 | $391.7 billion |
| October 1, 2018 | $496.1 billion |
| October 1, 2019 | $496.0 billion |
| October 1, 2020 | $591.4 billion |
| October 4, 2021 | $572.5 billion |
| October 3, 2022 | $692.3 billion |
| October 5, 2023 | $600.8 billion |
| October 1, 2024 | $702.4 billion |
| September 2, 2025 | $808.8 billion |
| October 2, 2026 | $915.8 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 853,775 clients | $714.6 billion | |
| Corporations or other businesses 27,490 clients | $94.5 billion | |
| Individuals (other than high net worth) 244,284 clients | $47.2 billion | |
| Pension and profit sharing plans 9,843 clients | $26.4 billion | |
| Charitable organizations 8,053 clients | $21.4 billion | |
| Other 284 clients | $5.5 billion | |
| State or municipal government entities 357 clients | $4.3 billion | |
| Insurance companies 436 clients | $1.4 billion | |
| Sovereign wealth funds and foreign official institutions 34 clients | $399.2 million | |
| Pooled investment vehicles 24 clients | $71.3 million | |
| Banking or thrift institutions 8 clients | $59.3 million |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
- Other
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Portfolio management for businesses or institutional clients
- Pension consulting
- Selection of other advisers
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars or workshops
Financial planning clients (Item 5.H): 1000.
Wrap fee program sponsor or portfolio manager: yes.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Futures commission merchant
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
- Swap dealer
- Commodity pool operator or commodity trading advisor
- Futures commission merchant
- Banking or thrift institution
- Trust company
- Insurance company or agency
- Pension consultant
- Real estate broker, dealer or agent
- Sponsor or syndicator of limited partnerships
- Sponsor, general partner or managing member of pooled investment vehicles
Custody (Item 9)
The firm reported custody of client cash or securities, $945.0 billion in total.
Investment adviser representatives
- IARs registered with the firm
- 9,380
- Also registered through a broker-dealer
- 9,367
- Employees who are IARs (Form ADV 5.B(3))
- 9,149
Designations held by the firm's IARs: CFP 413, CFA 89, ChFC 15.
Between 1,765 and 7,711 of the firm's 9,380 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 23 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New Jersey
| Firm | City | RAUM |
|---|---|---|
| Pathstone | Englewood | $110.3 billion |
| Private Advisor Group, LLC | Morristown | $57.7 billion |
| Summit Financial, LLC | Parsippany | $26.3 billion |
| Modera Wealth Management, LLC | Westwood | $17.7 billion |
| Onepoint BFG Wealth Partners | Parsippany | $15.1 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- UBS Financial Services Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.ubs.com/global/en/legal/social-legal.html
- Wealth management firms in New Jersey
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.