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 Managers Of Puerto Rico

Asset manager (funds and pooled vehicles)San Juan, PRCRD 313696SEC 801-120846websiteIAPD
Legal name UBS Trust Company Of Puerto Rico
Latest filing Mar 30, 2026
First filing on the tape Mar 18, 2021 · 10 filings
SEC status approved since Apr 16, 2021
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2026
Mar 31, 2022$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20220 then
Employees (5.A)6 as of Mar 30, 2026
Mar 31, 202212 then
Private funds: no history
RAUM -22% over the last fiscal year-7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$72.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-22%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
19reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Domingo Claudio Ballester · Member Of The Board Of Directors, Executive Directorcontrol
        since 02/2000 · owns less than 5%
      • Maria Michelle Casellas · Member Of The Board Of Directors, Executive Directorcontrol
        since 11/2014 · owns less than 5%
      • Nereida Luz Colon · Chief Compliance Officer, Executive Directorcontrol
        since 12/2013 · owns less than 5%
      • Javier Gonzalez · Member Of The Board Of Directorscontrol
        since 11/2014 · owns less than 5%
      • Humberto Jose Grau Brull · Member Of The Board Of Director, Chief Financial Officer, Executive Directorcontrol
        since 01/2014 · owns less than 5%
      • Charles Leslie Highley · Managing Director UBS Asset Managers Of Pr, Member Of The Boardcontrol
        since 01/2001 · owns less than 5%
      • Cyril Alexandre Manz · President Of UBS Trust Company Of Puerto Ricocontrol
        since 10/2023 · owns less than 5%
      • Verner Carlos Ubinas Taylor · Managing Director, Chairman Of The Boardcontrol
        since 08/2014 · owns less than 5%
      • Yacieli Heydi Cuadrado · Associate Portfolio Manager, Director
        since 11/2003 · owns less than 5%
      • Edward Ramos Perez · Fund Management Operations, Associate Director
        since 03/2012 · owns less than 5%
      • William Rivera · Portfolio Manager, Executive Director
        since 01/2001 · owns less than 5%
      • Anibal Javier Rodriguez · Portfolio Manager, Director
        since 04/2002 · owns less than 5%
      • Adolfo Gustavo Romanach · Associate Portfolio Manager, Director
        since 03/2000 · owns less than 5%
      • Luisa Maria Vilaro · Fund Management Operations, Associate Director
        since 03/2005 · owns less than 5%
      Entity owners
      • Painwebber Inernational Inc. · Owner
        direct · owns 75% or more
      • UBS Ag · Shareholder
        indirect · owns 75% or more of UBS Americas Holding LLC
      • UBS Americas Holding LLC · Shareholder
        indirect · owns 75% or more of UBS Americas Inc.
      • UBS Americas Inc. · Owner
        indirect · owns 75% or more of Painwebber Inernational Inc.
      • UBS Group Ag · Shareholder
        indirect · owns 75% or more of UBS Ag · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • unusual affiliate densityStatic outlier · filing Mar 30, 2026
        distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (797 comparable advisers, 99.0th percentile, 5.4 robust deviations)
        peers: asset managers, $1B to $5B (797) · 99% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 24 to 19
        Mar 27, 2025 to Mar 30, 2026
      • Advisory employees · 5 to 6
        Mar 27, 2025 to Mar 30, 2026
      • Employees · 5 to 6
        Mar 27, 2025 to Mar 30, 2026
      • Discretionary RAUM · $1.8B to $1.4B
        Mar 27, 2025 to Mar 30, 2026
      • RAUM · $1.8B to $1.4B
        Mar 27, 2025 to Mar 30, 2026
      • Advisory employees · 8 to 5
        Jul 2, 2024 to Mar 27, 2025
      • Employees · 11 to 5
        Jul 2, 2024 to Mar 27, 2025
      • Financial planning clients · unset to
        Jul 2, 2024 to Mar 27, 2025
      • Discretionary RAUM · $1.8B to $1.8B
        Jul 2, 2024 to Mar 27, 2025
      • RAUM · $1.8B to $1.8B
        Jul 2, 2024 to Mar 27, 2025
      • Advisory employees · 9 to 8
        Sep 22, 2023 to Apr 1, 2024
      • Discretionary RAUM · $1.7B to $1.8B
        Sep 22, 2023 to Apr 1, 2024
      • RAUM · $1.7B to $1.8B
        Sep 22, 2023 to Apr 1, 2024
      • Employees · 12 to 11
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $2.2B to $1.7B
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $2.2B to $1.7B
        Mar 31, 2022 to Mar 30, 2023
      • Advisory employees · 10 to 9
        Aug 13, 2021 to Mar 31, 2022
      • Employees · 11 to 12
        Aug 13, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.3B to $2.2B
        Aug 13, 2021 to Mar 31, 2022
      • RAUM · $2.3B to $2.2B
        Aug 13, 2021 to Mar 31, 2022
      • Accounts · 0 to 24
        Apr 16, 2021 to Aug 13, 2021
      • Discretionary RAUM · $0 to $2.3B
        Apr 16, 2021 to Aug 13, 2021
      • RAUM · $0 to $2.3B
        Apr 16, 2021 to Aug 13, 2021
      • Employees · 36 to 11
        Mar 18, 2021 to Apr 16, 2021
      • Organization form · Corporation to Other (specify)
        Mar 18, 2021 to Apr 16, 2021
      Signals
      3 dated events
      • Guillermo Jose Arias Rodriguez (Managing Director Ubs Asset Managers Of Puerto Rico) no longer on Schedule A of Ubs Asset Managers Of Puerto Rico (listed 2024-04-01, absent 2024-07-02)
        Jul 2, 2024 · Control person left · inference
      • Cyril Alexandre Manz (President Of Ubs Trust Company Of Puerto Rico) appeared on Schedule A of Ubs Asset Managers Of Puerto Rico
        Apr 1, 2024 · Control person joined · fact
      • Ubs Asset Managers Of Puerto Rico filed its initial SEC registration (Form ADV)
        Mar 18, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      787-773-3888reportedpublic record, Form ADV, Mar 30, 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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026