Ubs International Inc. (New York)

Ubs International Inc. is a large advisory firm based in New York. It manages $1.47 billion of regulatory assets for 2,986 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdictions of Alabama, Alaska, Arkansas, and 45 other states.

Ubs International provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Ubs International: assets under management

The assets under management (AUM) of Ubs International Inc. is $1.47 billion. The firm's AUM has grown by 277% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $206.14 million in discretionary accounts and $1.26 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.44 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $442.88 thousand.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Ubs International Inc. for their services and products based on a percentage of assets under management. 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 International Inc.

Christopher J Rowland has been acting as President since 1 Nov 2000. William Patrick Frey joined the executive team most recently as the Cfo.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Christopher J Rowland	Director	1 Nov 2000	Other	2985219
Michael Joseph Quinn	Cfo	1 Nov 2000	Other	2716618
Kevin Patrick Ferguson	Head of operations	1 Nov 2000	Other	1282757
Thomas Ronald Toothaker	Chief legal officer/director	1 Nov 2000	Other	4324782
Raymond Simon Vermot	Co-head of marketing/director	1 Nov 2000	Other	4209460
Christopher John Rowland	Director	1 Nov 2000	Other	2985219
Rudolf Burri	Co-head of marketing	1 Feb 2001	Other	4208377
Joseph Frank Scavo	Chief compliance officer	1 Feb 2001	Other	1240820
Joseph James Costanza	Branch manager/rop/crop/srop/muni principal	1 May 2001	Other	2286447
Ubs Americas Inc.	Shareholder	1 Jan 2002	75% - 100%	06-1595848
Hans Rudolf Suter	Chief executive officer	1 Feb 2002	Other	2435450
Ricardo Alberto Jr Gonzalez	President -- u.s. division/director/muni principal	1 Feb 2002	Other	1460620
Kenneth Michael Townley	Deputy director of compliance	1 Mar 2002	Other	1389360
Michael James Torregiano	Associate director / crop	1 Apr 2002	Other	2753068
Scott Ives Noah	Chief legal officer	1 May 2002	Other	2334448
Ricardo Alberto Jr Gonzalez	Chairman/ceo/director/muni principal	1 Jan 2003	Other	1460620
Scott Ives Noah	Chief legal officer/director	1 Jan 2003	Other	2334448
Ronald Aaron Safir	Director	1 Jan 2003	Other	1222608
Elaine Marie Trotta	Chief administrative officer	1 Apr 2004	Other	1048829
Kathleen Frances Sullivan	Associate directo/crop/srop	1 Jun 2004	Other	2330070
Rudolf Burri	Chief operating officer	1 Mar 2005	Other	4208377
Estill Alvey	Cfo	1 Oct 2006	Other	1025843
Rudolf Burri	Chief operating officer/director	1 Nov 2006	Other	4208377
Annabelle Bryde	Director	1 Nov 2006	Other	xxx-xx-xxxx
Peter Woodburn Worden	Head of operations	1 Apr 2007	Other	3243009
David Martin Dodd	Ceo/director	1 Sep 2007	Other	1065148
Joseph Frank Scavo	Aml officer	1 Dec 2007	Other	1240820
Kenneth Michael Townley	Chief compliance officer	1 Dec 2007	Other	1389360
Robert Chao	Cfo	1 Jul 2008	Other	1952492
James Richard Sipes	Chairman	1 Dec 2008	Other	425355
Ricardo Alberto Jr Gonzalez	Ceo/director/muni principal	1 Mar 2009	Other	1460620
Joseph Frank Scavo	Aml officer / chief compliance officer	1 May 2009	Other	1240820
Jason Richard Chandler	Chairmen and director	1 May 2009	Other	2382465
Joseph Frank Scavo	Aml officer	1 Jun 2009	Other	1240820
Michael James Torregiano	Chief compliance officer	1 Jun 2009	Other	2753068
William Patrick Frey	Cfo	1 Jul 2009	Other	2369814

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Ubs Ag	Shareholder	1 Sep 2000	75% - 100%	98-0186363

Based in New York

The principal office where Ubs International Inc. performs its advisory services is located at 101 Park Avenue, New York, NY 10178, which is also the mailing address of the firm. An additional office of the firm is in Miami, FL. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-916-2000 or by fax 212-916-2115. The normal business hours are 9am - 5pm on Monday - Friday.