SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
UBS Asset Management (Americas) LLC
New York, NY
CRD 106838
Firm filing updated July 31, 2026 ·
- $588.2BAssets
- 433,784Clients
- 260Advisory staff
- 433,784Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Performance-based feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Individuals326,365
- High net worth individuals88,963
- Corporations or other businesses13,703
- Charities2,743
- Banks1,168
- and 7 more793
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 326,365 | $95.9 billion |
| High net worth individuals | 88,963 | $105.2 billion |
| Banking or thrift institutions | 1,168 | $1.4 billion |
| Investment companies | 62 | $96.2 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 360 | $184.4 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 14 | $3.1 billion |
| Charitable organizations | 2,743 | $4.3 billion |
| State or municipal government entities (including government pension plans) | 141 | $9.4 billion |
| Other investment advisors | 7 | $1.8 billion |
| Insurance companies | 191 | $4.5 billion |
| Sovereign wealth funds and foreign official institutions | 18 | $50.6 billion |
| Corporations or other businesses not listed above | 13,703 | $28.5 billion |
| Other: "TRUST COMPANIES AND UNCATEGORIZED WRAP FEE ACCOUNTS" | 49 | $2.9 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 6 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$588.2 billion
- Accounts433,784
- Discretionary$563.9 billion · 433,738 accounts
- Non-discretionary$24.3 billion · 46 accounts
People
- Employees574
- Advisory staff260
- Broker-dealer reps178
- Licensed insurance agents0
- Planning clients0
Advisors
19 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 106838, SEC file 801-34910.
- Registered with the SEC as an investment advisor (status date on record: September 11, 1989).
Is UBS Asset Management (Americas) LLC a fiduciary?
Short answer: UBS Asset Management (Americas) LLC is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 178 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.