Data / Investment advisers / New Jersey / UBS Financial Services Inc.
UBS Financial Services Inc., Weehawken, NJ: $916 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
UBS Financial Services Inc. is an SEC registered investment adviser with its main office in Weehawken, New Jersey and reports $916 billion in regulatory assets under management in its Form ADV filed August 25, 2026. Its clients include high net worth individuals, corporations and other businesses and individuals. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch UBS Financial Services Inc. (CRD number 8174): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- Registration
- SEC registered investment adviser
- CRD number
- 8174
- SEC file number
- 801-7163
- SEC status
- Approved, effective January 22, 1971
- Main office
- 1200 Harbor Boulevard, Weehawken, NJ 07086
- Phone
- (201) 352-3000
- Website
- instragram.com
- Regulatory AUM
- $915,793,138,114 in the Form ADV filed August 25, 2026
- Discretionary AUM
- $402,983,233,661
- Non discretionary AUM
- $512,809,904,453
- Accounts
- 1,144,309
- Employees
- 12,524, of which 9,149 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees, commissions, other fees
- Other offices
- 369
- Form ADV Item 11 disclosures
- Reported: criminal actions, SEC or CFTC regulatory actions, other federal, state or foreign regulatory actions, self-regulatory organization actions, other Item 11 matters, civil court actions
- Latest Form ADV filing
- August 25, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 853,775 | $714.55 billion |
| Corporations or other businesses | 27,490 | $94.46 billion |
| Individuals (other than high net worth individuals) | 244,284 | $47.16 billion |
| Pension and profit sharing plans | 9,843 | $26.43 billion |
| Charitable organizations | 8,053 | $21.44 billion |
| State or municipal government entities | 357 | $4.26 billion |
| Insurance companies | 436 | $1.42 billion |
| Sovereign wealth funds and foreign official institutions | 34 | $399.2 million |
| Pooled investment vehicles | 24 | $71.3 million |
| Banking or thrift institutions | 8 | $59.3 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $915.79 billion | March 31, 2026 |
| December 1, 2025 | $808.82 billion | November 13, 2025 |
Other advisers in New Jersey
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Pgim, Inc. | Newark | $1.13 trillion | 171 | adviserinfo.sec.gov |
| Managed Account Advisors LLC | Jersey City | $994.99 billion | Not listed | adviserinfo.sec.gov |
| Blackrock Investment Management, LLC | Princeton | $676.69 billion | 49 | adviserinfo.sec.gov |
| Metlife Investment Management, LLC | Whippany | $563.78 billion | 11 | adviserinfo.sec.gov |
| Pgim Investments LLC | Newark | $344.84 billion | Not listed | adviserinfo.sec.gov |
| Lord, Abbett & Co. LLC | Jersey City | $270.39 billion | 9 | adviserinfo.sec.gov |
| Corebridge Institutional Investments (U.S.), LLC | Jersey City | $121.05 billion | 13 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New Jersey
- Advisers with Over $100 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving corporations and other businesses
- UBS Financial Services Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.