UBS ASSET MANAGEMENT (AMERICAS) INC.
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UBS ASSET MANAGEMENT (AMERICAS) INC.
(CRD# 106838)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Sep 1989.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$179.4 Billion,
with discretion over
88%
of those assets.
Pooled investment vehicles (Private Funds) account for
30%
of RAUM.
Non-US investors represent
30%
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UBS ASSET MANAGEMENT (AMERICAS) INC.
also reported in
Mar 2019
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389
employees,
with
196
performing advisory functions.
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A total of 5 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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UBS ASSET MANAGEMENT (AMERICAS) INC. has one or more disclosure events currently on file with the SEC.
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UBS ASSET MANAGEMENT (AMERICAS) INC. has Notice Filings with the following State Securities Authorities:
AK-Jun 2001, AL-Jun 2001, AR-Jun 2001, AZ-Jun 2001, CA-Jun 2001
, CO-Jun 2001, CT-Jun 2001, DC-Jun 2001, DE-Jul 2003, FL-Jun 2001
, GA-Jun 2001, HI-Jun 2001, IA-Jun 2001, ID-Jun 2001, IL-Feb 2000
, IN-Jun 2001, KS-Jun 2001, KY-Jun 2001, LA-Jun 2001, MA-Jun 2001
, MD-Jun 2001, ME-Jun 2001, MI-Jun 2001, MN-Jun 2001, MO-Jun 2001
, MS-Jun 2001, MT-Jun 2001, NC-Jun 2001, ND-Jun 2001, NE-Jun 2001
, NH-Jun 2001, NJ-Jul 2001, NM-Jun 2001, NV-Jun 2001, NY-Jun 2001
, OH-Jun 2001, OK-Aug 2001, OR-Jun 2001, PA-Jun 2001, PR-Jun 2001
, RI-Jun 2001, SC-Jun 2001, SD-Jun 2001, TN-Sep 2001, TX-Jun 2001
, UT-Jun 2001, VA-Jun 2001, VT-Jun 2001, WA-Jun 2001, WI-Jun 2001
, WV-Jun 2001
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
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