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UBS ASSET MANAGEMENT (AMERICAS) LLC

NEW YORK, NY · CRD 106838 · IAPD ↗ · 212-713-2000

$588.22BRegulatory AUM
260Advisory reps
574Employees
17Clients
0Planning clients
139Private funds
53States
60Disclosures
wealthSegment
ApprovedSEC status

Filing changes

47
April 2025 — UBS ASSET MANAGEMENT (AMERICAS) LLC notice-filed in WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — UBS ASSET MANAGEMENT (AMERICAS) LLC shrank from 411 to 263 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2025 — UBS ASSET MANAGEMENT (AMERICAS) LLC added office(s): 15 -> 17 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
June 2024 — UBS ASSET MANAGEMENT (AMERICAS) LLC's Item 11 disclosure-reporting entries rose by 51 (62 -> 113).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2024 — UBS ASSET MANAGEMENT (AMERICAS) LLC added office(s): 4 -> 15 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
June 2024 — UBS ASSET MANAGEMENT (AMERICAS) LLC reported RAUM up 30% ($367.88B -> $477.86B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
June 2024 — UBS ASSET MANAGEMENT (AMERICAS) LLC now reports custody of client assets ($219.47B).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
85
June 2024 — UBS ASSET MANAGEMENT (AMERICAS) LLC grew from 216 to 411 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
May 2024 — UBS ASSET MANAGEMENT (AMERICAS) LLC filed an Item 4A succession naming UBS ASSET MANAGEMENT (AMERICAS) INC. (CRD 106838) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
60
May 2024 — UBS ASSET MANAGEMENT (AMERICAS) INC. is now doing business as UBS ASSET MANAGEMENT (AMERICAS) LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
55
April 2024 — UBS ASSET MANAGEMENT (AMERICAS) INC.'s Item 11 disclosure-reporting entries rose by 5 (57 -> 62).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
85
April 2024 — UBS ASSET MANAGEMENT (AMERICAS) INC. grew from 179 to 216 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.