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UBS FINANCIAL SERVICES INC.

Advisory

N·WEEHAWKEN, NJ

Data as of Jan 16, 2026 · Source: SEC Form ADV

Total AUM

$808.8B

1-Year AUM Growth

+16.9%

3-Year CAGR

+7.1%

Employees

9,944

Assets Under Management

Total AUM$808.8B

Discretionary AUM$356.7B

Non-Discretionary AUM$452.1B

Discretionary %44.1%

Total Clients1,134,581

Team

Total Employees9,944

Investment Advisers12,629

Employee Growth (1Y)0.0%

Filing History

Total Filings on Record101

First FilingJan 31, 2001

Latest FilingJan 16, 2026

🔒 Full AUM trend chart and 101 historical filings spanning 25+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on UBS FINANCIAL SERVICES INC.

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.