Ubs Global Asset Management (New York) Inc. (New York)

Name: Ubs Global Asset Management (New York) Inc.
Address: 51 West 52 Nd Street, New York, NY, 10019 6114
Telephone: (212)882-5000

Ubs Global Asset Management (New York) Inc. is a large advisory firm based in New York. It manages $12.33 billion of regulatory assets for 219 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Ubs Global Asset Management (New York) provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Ubs Global Asset Management (New York): assets under management

The assets under management (AUM) of Ubs Global Asset Management (New York) Inc. is $12.33 billion. The firm's AUM has gone down by -43% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $11.58 billion in discretionary accounts and $753.84 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $56.21 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $57.99 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Ubs Global Asset Management (New York) Inc. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Ubs Global Asset Management (New York) Inc.

Jeffrey James Diermeier has served as the Chief Investment Officer since 1 Mar 2000. Joseph Anthony Varnas joined the executive team most recently as the Chief Operating Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ubs (Usa) Inc.	Holding company	1 Apr 1995	75% - 100%	13-3506524
Mark Frederick Kemper	Secretary & legal adviser	1 Jun 1998	Other	4347419
Peter Mertz	Vice president	1 Jun 1998	Other	2830389
Wayne Dole Thornbrough	Vice president & director	1 Jun 1998	Other	1859311
Benjamin Franklin Lenhardt	Chairman & chief executive officer	1 Nov 1999	Other	2285642
Jeffrey James Diermeier	Chief investment officer	1 Mar 2000	Other	4347134
Larysa Maria Bemko	Vice president	1 May 2001	Other	2444132
Brian Marshall Storms	President & chief operating officer	1 May 2001	Other	712047
Robert Peter Wolfangel	Chief financial officer	1 Jun 2001	Other	2965141
Amy Rose Doberman	Secretary and chief legal officer	1 Oct 2001	Other	4286792
Brian Marshall Storms	President,chief operating officer and director	1 Jul 2002	Other	712047
Joseph Anthony Varnas	Chief operating officer	1 Mar 2003	Other	1828910

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Zurich Switzerlerland Ubs Ag	Parent company	1 Apr 1995	75% - 100%	98-0186363

Based in New York

The principal office where Ubs Global Asset Management (New York) Inc. performs its advisory services is located at 51 West 52 Nd Street, New York, NY 10019 6114, which is also the mailing address of the firm. An additional office of the firm is in Franklin, TN. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number (212)882-5000. The normal business hours are 8:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at www.ubs.com.