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UBS FINANCIAL SERVICES INC.

WEEHAWKEN, NJCRD #8174SEC #801-7163As of 2026-03-31

AUM Over Time

Discretionary
Non-Discretionary

At a Glance

Total AUM$915.79B
Discretionary$402.98B44% of AUM
Non-Discretionary$512.81B
Client Accounts1,144,309
Avg Account Size$800K
Employees12,524
Peak AUM$915.79BMar 2026
AUM CAGR+10.5% /yrover 25 yrs · 115 filings

AUM by Client Type

Total AUM

$915.8B

Firm Change Matrix

MetricLatest1Y3Y CAGR5Y CAGRTrend
Firm Scale
Total AUM$915.8B+13.2%+15.1%+9.9%
Discretionary AUM$403.0B+13.0%+13.7%+8.4%
Non-Disc. AUM$512.8B+13.4%+16.2%+11.1%
Total Accounts1.1M+0.8%+2.0%+2.7%
Avg Account Size$800,302.312+12.3%+12.8%+7.0%
Employees13k0.8%1.4%3.6%
AUM / Employee$73M+14.2%+16.7%+13.9%
Client AUM Segments
Wealth AUM$761.7B+12.1%+15.1%+9.5%
Institutional AUM$148.4B+15.5%+14.2%+11.3%
Fund / Pooled AUM$71M20.2%27.2%+47.4%
Other AUM$5.5B+675.5%+85.9%+71.3%
Client Count Segments
HNW Clients244k9.5%9.0%7.2%
Institutional46k0.0%3.4%+0.4%
Pooled / Fund2425.0%37.0%+16.9%
Individuals854k+4.3%+6.1%+6.5%

Key Metrics

Total AUM$915.79B
Discretionary$402.98B
Employees12524
Client Accounts1144309
Client RangeMore than 500

Contact & Location

Address

1200 HARBOR BOULEVARD
WEEHAWKEN NJ 07086

Phone

201-352-3000

Filing History

115 ADV Part 1 submissions

Fee Structure

% of AUMHourlyFixed FeesCommissions

Advisory Services

Financial PlanningPortfolio Mgmt (Individuals)Pension ConsultingAdviser SelectionPublicationsSecurity RatingsMarket Timing
Growth

AUM Growth Rate (Annualized YoY %)

Firm Profile

Normalized 0–100 scores across six dimensions.

Discretionary vs Non-Discretionary

Discretionary

$403.0B

44.0% of AUM

Non-Discretionary

$512.8B

56.0% of AUM

Disc. mix ▼ 0.1pp vs 1 year ago

Discretionary
Non-Discretionary

Average Account Size

AUM per Employee

Headcount Over Time

Total Employees
Advisory Staff
Clients

Client Account Growth

Total Accounts
Discretionary
Non-Discretionary

Clients by Type (Latest)

Client Type Mix Over Time

High Net Worth
Individuals
Pooled Vehicles
Pension Plans
Corporations
Government
Insurance Cos.
Other
Risk & Structure

Regulatory Disclosures

⚠ Disclosures Reportedfirst noted Jan 2001
•Felony conviction
•Investment-related felony
•SRO proceeding/bar
•Investment adviser bar/suspension
•CFTC order

Custody

Bank CustodyBroker-Dealer CustodyAudited Financials

Other Registrations

Broker-DealerBanking Institution

Related Entities (Item 7)

Broker-DealerInvestment AdviserFutures Commission MerchantBanking InstitutionPension ConsultantTrust CompanyAccounting FirmLaw Firm