DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
UBS Asset Management (Americas) LLC
Latest filing Jul 31, 2026
First filing on the tape Feb 23, 2012 · 60 filings
SEC status approved since Sep 11, 1989
RAUM
$588B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
34%
$201B individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$18B
derived; firm RAUM over IAPD count
Employees
574
260 advisory (5.B.1)
Offices
15
beyond the principal office
Private funds
139
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$588B as of Jul 31, 2026
Feb 23, 2012$149B then
HNW client RAUM$105B as of Jul 31, 2026
Mar 29, 2018$11B then
State-registered IARs (5.B.3)31 as of Jul 31, 2026
Mar 28, 201316 then
Employees (5.A)574 as of Jul 31, 2026
Mar 28, 2013508 then
Private funds139 as of Jul 31, 2026
Feb 23, 20123 then
RAUM +8.5% over the last fiscal year+25% a year over threeIARs 33 to 31offices 17 to 15
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $18BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12,979derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 17.9derivedItem 5.A over advisors
- Advisors per office
- 2.0derived16 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$184B32%
- High-net-worth individuals$105B18%
- Investment companies$96B16%
- Individuals$96B16%
- Sovereign wealth funds$51B8.6%
- Corporations and businesses$28B4.9%
- State and municipal entities$9.4B1.6%
- Insurance companies$4.5B0.8%
- Charitable organizations$4.3B0.7%
- Pension and profit-sharing plans$3.1B0.5%
- Other investment advisers$1.8B0.3%
- Banks and thrifts$1.4B0.2%
- Individual clients
- 326,365reported
- HNW clients
- 88,963reported
- Pension plan clients
- 14reported
- Charitable clients
- 2,743reported
- Accounts
- 433,784reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $231B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.34 fund_share=0.48 institutional_share=0.12 related_bd=true related_bank=true bd_reps=178.0derived
Advisors registered through the firm
31 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Cathy Anne Desjardins | Dana Point, Ca | Aug 13, 2009 | 30 y | 0 |
| Mark Matthew Mcmillan | Beverly Hills, Ca | Aug 13, 2009 | 30 y | 3 |
| Daniel PrimeauChartered Financial Analyst | New York, Ny | Nov 5, 2010 | 38 y | 0 |
| Kathryn Lopresti | New York, Ny | Oct 11, 2017 | 25 y | 1 |
| Michael Scott Belasco | New York, Ny | Nov 17, 2017 | 11 y | 0 |
| Marc Shawn Peterfriend | New York, Ny | Jan 18, 2018 | 26 y | 1 |
| Keith C Ratcliffe | New York, Ny | Mar 1, 2018 | 19 y | 0 |
| Dylan Walsh | New York, Ny | Jun 4, 2018 | 10 y | 1 |
| Devon Shippee | New York, Ny | Jun 13, 2018 | 11 y | 0 |
| Anthony J Liotti | New York, Ny | Aug 11, 2020 | 32 y | 1 |
| Stephen Edward Canter | Fairfield, Ct | Aug 24, 2020 | 13 y | 1 |
| Neil William Talbot | New York, Ny | Aug 26, 2020 | 31 y | 1 |
| Adam ScheinerChartered Financial Analyst | New York, Ny | Feb 3, 2022 | 19 y | 1 |
| Kevin Anthony Spano | New York, Ny | Apr 26, 2023 | 10 y | 2 |
| Sarah Lang Anderson | New York, Ny | May 3, 2023 | 12 y | 0 |
| Max Melches | New York, Ny | Oct 10, 2023 | 35 y | 1 |
| Michael Nip | New York, Ny | Oct 10, 2023 | 27 y | 1 |
| Thomasina Melanie Carney | New York, Ny | Oct 10, 2023 | 27 y | 1 |
| John Lewis Matteson | New York, Ny | Oct 30, 2023 | 12 y | 0 |
| Fabio Michienzi | New York, Ny | Feb 6, 2024 | 15 y | 0 |
| Igor Gitstein | New York, Ny | Jun 4, 2024 | 11 y | 2 |
| Amanda Haywood | New York, Ny | Jul 1, 2024 | 14 y | 1 |
| Yang Ju | New York, Ny | Dec 26, 2025 | 12 y | 1 |
| Richard Alton Watnik | New York, Ny | Mar 23, 2026 | 11 y | 1 |
| Tabitha Marion Ghahari | New York, Ny | Mar 25, 2026 | 11 y | 3 |
| Diane Margaret Lillis | New York, Ny | Apr 29, 2026 | 20 y | 1 |
| Jeannet Weol | New York, Ny | Jun 1, 2026 | 10 y | 0 |
| Sebastian Mainegra | Miami, Fl | Jun 12, 2026 | 11 y | 0 |
| Fernando Diaz | New York, Ny | Jul 31, 2026 | 11 y | 0 |
| Jae Woong Jang | New York, Ny | Aug 4, 2026 | 10 y | 2 |
| Arthur Oien | New York, Ny | Aug 17, 2026 | 13 y | 1 |
Advisor movement
7 left, 7 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 22% of current headcount9 left over 36 months
Left, latest
- Megan Von Feldt to O'Connor Alternative Investments, LLCApr 17, 2026 · Other
- Eileen Wong to UBS Financial Services Inc.Apr 1, 2026 · RIA to wirehouse
- Christopher Carl Andersen to UBS Financial Services Inc.Apr 1, 2026 · RIA to wirehouse
- Edward Eccles to UBS Financial Services Inc.Apr 1, 2026 · RIA to wirehouse
- David Kelly to UBS Financial Services Inc.Apr 1, 2026 · RIA to wirehouse
- Christopher Michael Shea to Rockefeller Capital ManagementFeb 26, 2026 · RIA to affiliated broker-dealer or bank
- Robert Joel Dorfman to O'Connor Alternative Investments, LLCFeb 20, 2026 · Other
- Nicholas Thomas Carroll to UBS Financial Services Inc.May 28, 2024 · RIA to wirehouse
- Enrique Davila to Citigroup Global Markets Inc.May 22, 2024 · RIA to affiliated broker-dealer or bank
- Tess Olivia Segal to UBS Financial Services Inc.Apr 17, 2020 · Other
- James Obrien to UBS Financial Services Inc.Apr 8, 2019 · Other
- Charles Macewan Anderson to UBS Financial Services Inc.Sep 21, 2018 · Other
- Melanie Rubinstein to UBS Financial Services Inc.Jul 4, 2018 · Other
- Bryn Basiardanes Talkington to Requisite Capital Management LLCJul 7, 2017 · Other
- Danielle Nicole Singer to Invesco Advisers, Inc.May 28, 2014 · Other
Joined, latest
- Arthur Oien from UBS Financial Services Inc.Aug 17, 2026 · Wirehouse to independent RIA
- Diane Margaret Lillis from UBS Financial Services Inc.Apr 29, 2026 · Wirehouse to independent RIA
- Tabitha Marion Ghahari from J.P. Morgan Securities LLCMar 25, 2026 · Wirehouse to independent RIA
- Richard Alton Watnik from Janney Montgomery Scott LLCMar 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- Eileen Wong from UBS Financial Services Inc.Feb 27, 2026 · Wirehouse to independent RIA
- Yang Ju from Morgan StanleyDec 26, 2025 · Wirehouse to independent RIA
- Christopher Carl Andersen from UBS Financial Services Inc.Dec 11, 2025 · Wirehouse to independent RIA
- Megan Von Feldt from Credit Suisse Securities (USA) LLCAug 30, 2024 · Other
- Amanda Haywood from UBS Financial Services Inc.Jul 1, 2024 · Wirehouse to independent RIA
- Igor Gitstein from UBS Financial Services Inc.Jun 4, 2024 · Wirehouse to independent RIA
- Michael Nip from UBS Financial Services Inc.Oct 10, 2023 · Wirehouse to independent RIA
- Edward Eccles from UBS Financial Services Inc.Oct 10, 2023 · Wirehouse to independent RIA
- Thomasina Melanie Carney from UBS Financial Services Inc.Oct 10, 2023 · Wirehouse to independent RIA
- David Kelly from UBS Financial Services Inc.Oct 10, 2023 · Wirehouse to independent RIA
- Max Melches from UBS Financial Services Inc.Oct 10, 2023 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for UBS Financial Services Inc.Apr 1, 2026 · New York, Ny
- 7 joined from UBS Financial Services Inc.Oct 4, 2023 · Weehawken, Nj
- 2 joined from UBS Financial Services Inc.Aug 10, 2020 · Weehawken, Nj
Private funds
182 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Samurai Active Allocation Fundno longer reported | Hedge Fund | $47B | 2 | Aug 23, 2016 |
| Nineteen77 Global Multi-Strategy Alpha Master Limitedno longer reported | Hedge Fund | $5.3B | 2,260 | Mar 29, 2012 |
| Nineteen77 Global Merger Arbitrage Master Limitedno longer reported | Hedge Fund | $3.2B | 2,709 | Aug 26, 2015 |
| Florida Gulfcoast Partners Multi-Asset Credit, LP | $1.0B | 2 | Jul 31, 2026 | |
| Madison Park Funding Xliv, Ltd. | Securitized Asset Fund | $868M | 0 | Mar 29, 2019 |
| Madison Park Funding Xxvii, Ltd. | Securitized Asset Fund | $781M | 0 | Mar 29, 2019 |
| Madison Park Funding Xxii, Ltd. | Securitized Asset Fund | $774M | 0 | Mar 31, 2017 |
| Madison Park Funding Xliii, Ltd. | Securitized Asset Fund | $771M | 0 | Mar 29, 2019 |
| Madison Park Funding Xxxii, Ltd. | Securitized Asset Fund | $771M | 0 | Mar 30, 2020 |
| Madison Park Funding Xxxi, Ltd. | Securitized Asset Fund | $771M | 0 | Mar 29, 2019 |
| Madison Park Funding Xxxvi, Ltd. | Securitized Asset Fund | $762M | 0 | Mar 30, 2020 |
| A&Q Metric Spc - Alternative Multi Manager Access Sp | $760M | 2 | Jul 31, 2026 | |
| Madison Park Funding Xxxiii, Ltd. | Securitized Asset Fund | $753M | 0 | Mar 30, 2020 |
| Select (Cay) Treasury Preferred Fund Ltd. | Liquidity Fund | $713M | 9 | Jul 11, 2012 |
| Madison Park Funding Xlix, Ltd. | Securitized Asset Fund | $712M | 0 | Mar 31, 2022 |
| Madison Park Funding Xxxix, Ltd. | Securitized Asset Fund | $709M | 0 | Mar 31, 2022 |
| Madison Park Funding Lxvi, Ltd. | $685M | 0 | Jul 31, 2026 | |
| Madison Park Funding Lix, Ltd. | Securitized Asset Fund | $671M | 0 | Mar 31, 2022 |
| Madison Park Funding Xxxv, Ltd. | Securitized Asset Fund | $665M | 0 | Mar 30, 2020 |
| Madison Park Funding Xlvi, Ltd. | Securitized Asset Fund | $662M | 0 | Mar 31, 2021 |
| Madison Park Funding Liii, Ltd. | Securitized Asset Fund | $614M | 0 | Mar 31, 2023 |
| Madison Park Funding Xiv, Ltd. | Securitized Asset Fund | $612M | 0 | Mar 31, 2015 |
| Dollar Senior Loan Fund, Ltd. | Other Private Fund | $604M | 96 | Mar 30, 2012 |
| Madison Park Funding Lxxv, Ltd. | $597M | 0 | Jul 31, 2026 | |
| Madison Park Funding Lxxiii, Ltd. | $597M | 0 | Jul 31, 2026 | |
| Madison Park Funding Lxxii, Ltd. | $594M | 0 | Jul 31, 2026 | |
| Madison Park Funding Xl-R, Ltd. | $591M | 0 | Jul 31, 2026 | |
| Madison Park Funding Lxxi, Ltd. | $589M | 0 | Jul 31, 2026 | |
| Madison Park Funding Xxxviii, Ltd. | Securitized Asset Fund | $585M | 0 | Mar 31, 2022 |
| Madison Park Funding Lxiii, Ltd. | Securitized Asset Fund | $583M | 0 | Mar 29, 2024 |
| Madison Park Funding Xxx, Ltd. | Securitized Asset Fund | $580M | 0 | Mar 29, 2019 |
| Madison Park Funding Xxxvii, Ltd. | Securitized Asset Fund | $578M | 0 | Mar 30, 2020 |
| Madison Park Funding Xxix, Ltd. | Securitized Asset Fund | $578M | 0 | Mar 29, 2019 |
| Madison Park Funding Lv, Ltd. | Securitized Asset Fund | $574M | 0 | Mar 31, 2023 |
| Laguna Direct Lending Fund I (U.S.), L.P. | Private Equity Fund | $558M | 39 | Mar 31, 2021 |
| Clover Private Credit Opportunities Origination II LPno longer reported | Hedge Fund | $535M | 1,163 | Feb 24, 2021 |
| Madison Park Funding Xxviii, Ltd. | Securitized Asset Fund | $531M | 0 | Mar 29, 2019 |
| Pae Limited | Hedge Fund | $521M | 1 | Nov 2, 2021 |
| Select (Cay) Treasury Institutional Fund Ltd. | Liquidity Fund | $520M | 30 | Jul 11, 2012 |
| Madison Park Funding Lxx, Ltd. | $496M | 0 | Jul 31, 2026 |
Owners and control persons
Schedule A and B, latest filing
- James Poucher · President, Chief Executive Officer And Managercontrolsince 03/2024 · owns less than 5%
- Omar Tariq · Director And Board Membercontrolsince 05/2025 · owns less than 5%
- Shelley Wong-Chassine · Director And Board Membercontrolsince 05/2025 · owns less than 5%
- Kinum Meggan Zabel · Head Of Investments Business Management And Managercontrolsince 03/2024 · owns less than 5%
- Joseph Azelby · Head Of Investments, Head Of Real Estate And Private Marketssince 04/2024 · owns less than 5%
- Garret Craig Ellinger · Head Of Americas Fixed Incomesince 08/2017 · owns less than 5%
- John Barry Gill · Head Of Investments Officer And Managersince 11/2019 · owns less than 5%
- Peter Gyr · Chief Compliance Officersince 04/2024 · owns less than 5%
- Blake David Hiltabrand · Head Of Investments, O'Connorsince 04/2024 · owns less than 5%
- Marie Emily Kulback · Head Of Products Americas And Managersince 03/2024 · owns less than 5%
- Ralph Mattone · Chief Financial Officersince 01/2022 · owns less than 5%
- Ross Ian Mcintosh · Head Of Active Equitiessince 10/2019 · owns less than 5%
- Stephen Murphy · Head Of Institutional Client Coveragesince 11/2023 · owns less than 5%
- Gerard John Popp · Head Of Investments, Credit Investments Groupsince 05/2024 · owns less than 5%
- James Michael Rongetti · Managersince 03/2024 · owns less than 5%
- Edoardo Rulli · Head Of Investments, Hedge Fund Solutionssince 04/2024 · owns less than 5%
- Natalie Rachael Sledge · Chief Financial Officersince 05/2024 · owns less than 5%
- David Philip Stacey · Chief Legal Officersince 01/2023 · owns less than 5%
Entity owners
- Csam Americas Holding Corp · Shareholderdirect · owns 75% or more
- Csam Americas Holding LLC · Shareholderdirect · owns 10% to 25%
- UBS Am Holdings LLC · Shareholderdirect · owns less than 5%
- UBS Americas Inc. · Shareholderdirect · owns 75% or more
- Credit Suisse (USA) Inc · Shareholderindirect · owns 75% or more of Csam Americas Holding Corp
- UBS Ag · Memberindirect · owns 75% or more of UBS Americas Holding LLC · public reporting company
- UBS Americas Holding LLC · Shareholderindirect · owns 75% or more of UBS Americas Inc.
- UBS Group Ag · Parent Companyindirect · owns 75% or more of UBS Ag · public reporting company
- Credit Suisse (USA) LLC · Shareholderindirect · owns 75% or more of Credit Suisse Holdings (USA) Inc. · public reporting company
- Credit Suisse Holdings (USA) Inc. · Shareholderindirect · owns 75% or more of Credit Suisse (USA) Inc · public reporting company
Related persons
Schedule D 7.A
- Credit Suisse (Luxembourg) S.Acustodiann
- Credit Suisse Agbroker-dealerinvestment adviserpooled vehicle sponsorCPO or CTAy
- UBS Asset Management Credit Investments Group (Uk) Ltdinvestment adviserpooled vehicle sponsornRAUM $11B
- Credit Suisse Securities (USA) LLCbroker-dealerinvestment advisertrust companypooled vehicle sponsornRAUM $805M
- Lantern Structured Asset Management Limitedpooled vehicle sponsorn
- UBS (Luxembourg) S.A.broker-dealerpooled vehicle sponsorcustodiann
- UBS Agbroker-dealerinvestment adviserpooled vehicle sponsorCPO or CTAcustodiany
- UBS Asset Management (Australia) Ltd.investment adviserpooled vehicle sponsorn
- UBS Asset Management (Canada) Inc.investment adviserpooled vehicle sponsorn
- UBS Asset Management (Deutschland) Gmbhinvestment advisern
- UBS Asset Management (Hong Kong) Limitedinvestment advisern
- UBS Asset Management (Italia) Sgr S.P.A.investment advisern
- UBS Asset Management (Japan) Ltd.investment advisern
- UBS Asset Management (Shanghai) Limitedinvestment advisern
- UBS Asset Management (Singapore) Ltdinvestment advisern
- UBS Asset Management (Taiwan) Ltdinvestment advisern
- UBS Asset Management (Uk) Ltd.investment advisern
- UBS Asset Management (US) Inc.broker-dealern
- UBS Asset Management Funds Ltdinvestment advisern
- UBS Asset Management Switzerland Aginvestment advisern
- UBS Asset Management Trust Companyy
- UBS Farmland Investors LLCinvestment adviserpooled vehicle sponsorn
- UBS Financial Services Inc.broker-dealerinvestment advisertrust companyLP sponsorreal estatecustodiannRAUM $916B
- UBS Financial Services Incorporated Of Puerto Ricobroker-dealerinvestment advisern
- UBS Fund Management (Ireland) Ltd.investment advisern
- UBS Fund Management (Luxembourg) S.A.pooled vehicle sponsorn
- UBS Fund Management (Switzerland) Agpooled vehicle sponsorn
- UBS Fund Services (Luxembourg) S.A.pooled vehicle sponsorn
- UBS Fund Services (USA) LLCbroker-dealern
- UBS Group Agy
Advisers that list UBS Asset Management (Americas) LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 32 | 9 | 6 | 1 | |
| Ponte Vedra Beach, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL203 employees
- Stamford, CT93 employees
- New York, NY64 employees
- London, United Kingdom22 employees
- Hong Kong, China7 employees
- Weehawken, NJ6 employees
- Singapore, Singapore5 employees
- Shanghai, China5 employees
- Zurich, Switzerland3 employees
- San Francisco, CA2 employees
- Tokyo, Japan2 employees
- Walnut Creek, CA2 employees
- Nashville, TN1 employees
- Krakow, Poland1 employees
- Fort Launderdale, FL1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Jul 31, 2026RAUM per registered advisor of $18,381,863,066 against a peer median of $548,735,690 (67 comparable advisers, 98.0th percentile, 29.0 robust deviations)peers: independent wealth managers, $20B and over (67) · 98% percentile
- control person changedChange between filings · filing Jul 31, 2026WONG-CHASSINE, SHELLEY (DIRECTOR AND BOARD MEMBER) appeared on Schedule A between the filings of 2024-05-29 and 2026-07-31peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 31, 2026TARIQ, OMAR (DIRECTOR AND BOARD MEMBER) appeared on Schedule A between the filings of 2024-05-29 and 2026-07-31peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 31, 2026POUCHER, JAMES (PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER) left Schedule A between the filings of 2024-05-29 and 2026-07-31peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Private funds · 142 to 139Mar 31, 2026 to Jul 31, 2026
- Accounts · 399,225 to 433,784Feb 19, 2026 to Mar 31, 2026
- Advisory employees · 263 to 260Feb 19, 2026 to Mar 31, 2026
- Advisory activities · 5 to 6Feb 19, 2026 to Mar 31, 2026
- BD registered reps · 185 to 178Feb 19, 2026 to Mar 31, 2026
- Charity clients · 4 to 2,743Feb 19, 2026 to Mar 31, 2026
- Corporate clients · 42 to 13,703Feb 19, 2026 to Mar 31, 2026
- HNW clients · 80,474 to 88,963Feb 19, 2026 to Mar 31, 2026
- Individual clients · 318,180 to 326,365Feb 19, 2026 to Mar 31, 2026
- Pooled vehicle clients · 361 to 360Feb 19, 2026 to Mar 31, 2026
- Employees · 792 to 574Feb 19, 2026 to Mar 31, 2026
- State-registered IARs · 33 to 31Feb 19, 2026 to Mar 31, 2026
- Other offices · 17 to 15Feb 19, 2026 to Mar 31, 2026
- Private funds · 140 to 142Feb 19, 2026 to Mar 31, 2026
- Discretionary RAUM · $522B to $564BFeb 19, 2026 to Mar 31, 2026
- HNW RAUM · $105B to $105BFeb 19, 2026 to Mar 31, 2026
- Individual RAUM · $90B to $96BFeb 19, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $20B to $24BFeb 19, 2026 to Mar 31, 2026
- Pension RAUM · $7.5B to $3.1BFeb 19, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $165B to $184BFeb 19, 2026 to Mar 31, 2026
- RAUM · $542B to $588BFeb 19, 2026 to Mar 31, 2026
- Wrap assets (manager) · $195B to $231BFeb 19, 2026 to Mar 31, 2026
- Private funds · 149 to 140Jan 26, 2026 to Feb 19, 2026
- Private funds · 151 to 149Aug 27, 2025 to Jan 26, 2026
- Financial planning clients · 0 to 0Jul 1, 2025 to Aug 27, 2025
- Private funds · 149 to 151Jul 1, 2025 to Aug 27, 2025
- Private funds · 165 to 149Mar 31, 2025 to May 28, 2025
- Accounts · 353,642 to 399,225Dec 18, 2024 to Mar 31, 2025
- Advisory employees · 411 to 263Dec 18, 2024 to Mar 31, 2025
- BD registered reps · 191 to 185Dec 18, 2024 to Mar 31, 2025
- Charity clients · 11 to 4Dec 18, 2024 to Mar 31, 2025
- Corporate clients · 55 to 42Dec 18, 2024 to Mar 31, 2025
- HNW clients · 61,960 to 80,474Dec 18, 2024 to Mar 31, 2025
- Individual clients · 291,062 to 318,180Dec 18, 2024 to Mar 31, 2025
- Pension plan clients · 23 to 14Dec 18, 2024 to Mar 31, 2025
- Pooled vehicle clients · 344 to 361Dec 18, 2024 to Mar 31, 2025
- Assets in custody · 36977027522.0 to unsetDec 18, 2024 to Mar 31, 2025
- Custody of client assets · true to falseDec 18, 2024 to Mar 31, 2025
- Employees · 823 to 792Dec 18, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 33Dec 18, 2024 to Mar 31, 2025
Signals
26 dated events
- Megan Von Feldt left Ubs Asset Management (Americas) Llc for O'Connor Alternative Investments, Llc (registered 2026-04-07)Apr 17, 2026 · Advisor changed firm · fact
- 4 advisors left UBS Asset Management (Americas) LLC (New York, NY) for UBS Financial Services Inc. on the same dayApr 1, 2026 · Team lift-out · derived
- Eileen Wong left Ubs Asset Management (Americas) Llc for Ubs Financial Services Inc. (registered 2026-04-01)Apr 1, 2026 · Advisor changed firm · fact
- David Kelly left Ubs Asset Management (Americas) Llc for Ubs Financial Services Inc. (registered 2026-04-01)Apr 1, 2026 · Advisor changed firm · fact
- Edward Eccles left Ubs Asset Management (Americas) Llc for Ubs Financial Services Inc. (registered 2026-04-01)Apr 1, 2026 · Advisor changed firm · fact
- Christopher Carl Andersen left Ubs Asset Management (Americas) Llc for Ubs Financial Services Inc. (registered 2026-04-01)Apr 1, 2026 · Advisor changed firm · fact
- Christopher Michael Shea left Ubs Asset Management (Americas) Llc for Rockefeller Capital Management (registered 2026-04-06)Feb 26, 2026 · Advisor changed firm · fact
- Robert Joel Dorfman left Ubs Asset Management (Americas) Llc for O'Connor Alternative Investments, Llc (registered 2026-01-27)Feb 20, 2026 · Advisor changed firm · fact
- Ubs Asset Management (Americas) Llc reported 33 state-registered advisory representatives, up from 4 (2024-12-18 to 2025-03-31)Mar 31, 2025 · Advisor headcount change · derived
- Sumit Khanna (Manager) no longer on Schedule A of Ubs Asset Management (Americas) Llc (listed 2024-06-07, absent 2024-08-27)Aug 27, 2024 · Control person left · inference
- Ubs Asset Management (Americas) Llc reported RAUM $477.9B, up 30% from $367.9B (2024-04-02 to 2024-05-29)May 29, 2024 · RAUM change · derived
- Ubs Asset Management (Americas) Llc reported 15 offices beyond its principal office, up from 4 (2024-04-02 to 2024-05-29)May 29, 2024 · Office count change · derived
- Sumit Khanna (Manager) appeared on Schedule A of Ubs Asset Management (Americas) LlcMay 29, 2024 · Control person joined · fact
- Nicholas Thomas Carroll left Ubs Asset Management (Americas) Llc for Ubs Financial Services Inc. (registered 2024-05-28)May 28, 2024 · Advisor changed firm · fact
- Enrique Davila left Ubs Asset Management (Americas) Llc for Citigroup Global Markets Inc. (registered 2025-11-05)May 22, 2024 · Advisor changed firm · fact
- Ubs Asset Management (Americas) Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 2, 2024 · Succession (Item 4) · fact
- 7 advisors left UBS Financial Services Inc. (Weehawken, NJ) for UBS Asset Management (Americas) LLC within 2 daysOct 4, 2023 · Team lift-out · derived
- D Andrew Hollenbeck (Chief Legal Officer) no longer on Schedule A of Ubs Asset Management (Americas) Llc (listed 2021-03-31, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- Joseph William Ferri (President, Chief Executive Officer, And Director) no longer on Schedule A of Ubs Asset Management (Americas) Llc (listed 2021-03-31, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- Ubs Asset Management (Americas) Llc reported RAUM $269.2B, up 40% from $192.2B (2020-12-11 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Ubs Asset Management (Americas) Llc reported 0 state-registered advisory representatives, down from 20 (2019-11-07 to 2020-03-30)Mar 30, 2020 · Advisor headcount change · derived
- Sacha David Squires (Treasurer, Chief Financial Officer, And Director) no longer on Schedule A of Ubs Asset Management (Americas) Llc (listed 2019-11-07, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- D Andrew Hollenbeck (Chief Legal Officer) appeared on Schedule A of Ubs Asset Management (Americas) LlcJul 3, 2019 · Control person joined · fact
- Barry Gill (Vice President) no longer on Schedule A of Ubs Asset Management (Americas) Llc (listed 2018-12-12, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Anne Lisa Lenza (Vice President And Director) no longer on Schedule A of Ubs Asset Management (Americas) Llc (listed 2018-12-12, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Ubs Asset Management (Americas) Llc reported 23 state-registered advisory representatives, down from 122 (2017-09-28 to 2018-03-29)Mar 29, 2018 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
- UBS Asset Management (americas) LLC · Independent Sponsorsshared crd · capital_provider
- UBS Asset Management (americas) LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-713-2000reportedpublic record, Form ADV, Jul 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $18Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
UBS Asset Management (Americas) LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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