UBS FINANCIAL SERVICES INC
237 known aliases resolved via the canonical alias map
Market position · 2024
Plans served1,233-63 YoYRank #22 of mapped providers
Assets under administration$247.2B0.3%Market share · rank #59
Fees received$72MMedian $37,500/planSum across Schedule C direct + indirect
Net wins YoY-56138 won · 194 lostPlan-level switch detection
Plans served · 5-year trajectory
Market-share plans percent annotated. Bar height is raw plan count.
Customer-base shape
What does a typical UBS FINANCIAL SERVICES INC plan look like?
Service mix · median fees per plan
Count of plans where UBS FINANCIAL SERVICES INC ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Securities brokerage commissions and fees; Investment management fees paid directly by plan; Investment management fees paid indirectly by plan; Investment advisory (plan)Code 27 | 788 | $38,616 | |
Securities brokerage; Investment management; Investment management fees paid directly by plan; Investment advisory (participants)Code 26 | 92 | $26,108 | |
Trustee (bank, trust company, or similar financial institution); Recordkeeping fees; Other fees; Direct payment from the plan; Recordkeeping and information management (computing, tabulating, data processing, etc.); Other servicesCode 15 | 91 | $26,496 | |
Securities brokerage commissions and fees; Investment managementCode 28 | 82 | $60,584 | |
Other services; Consulting (general); Investment advisory (participants); Investment advisory (plan)Code 16 | 62 | $41,238 | |
Other feesCode 99 | 52 | $22,044 | |
Other commissionsCode 55 | 14 | $31,345 | |
Investment management; Investment management fees paid indirectly by plan; Custodial (securities); Investment management fees paid directly by planCode 19 | 12 | $55,538 |
Competitor overlap
Percent of UBS FINANCIAL SERVICES INC's plans that also list each competitor on Schedule C. High numbers = co-living partners; low numbers = direct displacement targets.
Plans won in 2024
Appeared this year; did not appear last year under UBS FINANCIAL SERVICES INC.
| Sponsor | From | Assets |
|---|---|---|
PEPSICO, INC.NY · 131584302-004 | JOHN HANCOCK LIFE INSURANCE COMPANY | $6.8B |
PEPSICO, INC.NY · 131584302-121 | JOHN HANCOCK LIFE INSURANCE COMPANY | $4.2B |
CLEVELAND-CLIFFS STEEL LLCOH · 710871875-007 | FIDUCIENT ADVISORS LLC | $1.7B |
CLEVELAND-CLIFFS STEEL LLCOH · 710871875-005 | FIDUCIENT ADVISORS LLC | $1.1B |
BOARD OF TRUSTEES-NEW ENGLAND HEALTH CARE EMPLOYEES PENSION FUNDCT · 223071963-001 | SMITH GRAHAM | $1.0B |
FAIR ISAAC CORPORATIONCA · 941499887-003 | STRATEGIC ADVISORS, INC. | $822M |
NATIONAL VETERINARY ASSOCIATES, INC.CA · 954578066-001 | GREAT-WEST LIFE & ANNUITY INSURANCE | $809M |
CLEVELAND-CLIFFS STEEL CORPORATIONOH · 311267098-005 | T ROWE PRICE RPS INC | $783M |
CLEVELAND-CLIFFS STEEL CORPORATIONOH · 311267098-007 | FIDUCIENT ADVISORS LLC | $604M |
QUIDELORTHO CORPORATIONCA · 874496285-001 | FIDELITY INVESTMENTS INSTITUTIONAL | $584M |
Plans lost in 2024
Appeared last year under UBS FINANCIAL SERVICES INC; not this year.
| Sponsor | To | Assets |
|---|---|---|
MARS, INCORPORATEDNJ · 221594774-001 | TREXQUANT OFFSHORE FUND | $5.3B |
BOARD OF TRUSTEES,CONSTRUCTION LABORERS PENSION TRUST FOR SOUTHERN CACA · 436159056-001 | CALIBRE CPA GROUP PLLC | $3.3B |
MICHELIN NORTH AMERICA, INCSC · 111724631-010 | MORGAN STANLEY SMITH BARNEY | $2.1B |
MUFG BANK, LTD.NY · 135611741-016 | MORGAN STANLEY SMITH BARNEY | $1.1B |
TRUSTEES OF IBEW LOCAL UNION NO.126 RETIREMENT PLANPA · 232156093-001 | MORGAN STANLEY SMITH BARNEY | $730M |
BOARD OF TRUSTEES TEAMSTERS LOCAL 641 PENSION FUNDNJ · 226220288-001 | MORGAN STANLEY SMITH BARNEY | $568M |
CONNECTICUT LABORERS' PENSION FUND BOARD OF TRUSTEESCT · 066044348-001 | ASB CAPITAL MANAGEMENT | $565M |
LAITRAM LLCLA · 760719479-002 | STRATEGIC ADVISORS, INC. | $516M |
CLECO POWER LLCLA · 720244480-001 | LEGAL & GENERAL INVESTMENT | $423M |
STP NUCLEAR OPERATING COMPANYTX · 760517597-001 | PRUDENTIAL RETIREMENT INSURANCE AND | $389M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
WESTERN CONFERENCE OF TEAMSTERS PENSION TRUST FUND BOARD OF TRUSTEESWA · 916145047-001 | $56.4B | 639,222 | $7M | 10y | - |
TRUSTEES OF ILWU-PMA PENSION PLANCA · 946068576-001 | $10.8B | 25,317 | $783,994 | 10y | - |
PEPSICO, INC.NY · 131584302-004 | $6.8B | 55,326 | $14,765 | 5y | - |
BOARD OF TRUSTEES, SO CA UFCW UNIONS & FOOD EMPLOYERSCA · 951939092-001 | $6.5B | 199,927 | $253,969 | 10y | - |
BOARD OF TRUSTEES-NEW YORK STATE NURSES ASSOCIATION PENSION PLANNY · 136604799-001 | $5.9B | 46,491 | $136,616 | 8y | - |
PEPSICO, INC.NY · 131584302-121 | $4.2B | 85,189 | $18,691 | 1y | - |
UMWA 1974 PENSION TRUST BOARD OF TRUSTEESDC · 521050282-002 | $3.8B | 71,051 | $140,993 | 10y | 1 |
OHIO OPERATING ENGINEERS PENSION PLANOH · 316129968-001 | $3.6B | 19,523 | $289,013 | 7y | - |
BOARD OF TRUSTEES, CALIFORNIA IRONWORKERS FIELD PENSION TRUST FUNCA · 956042866-001 | $3.5B | 21,447 | $10,364 | 8y | - |
CUMMINS INC.IN · 350257090-001 | $3.2B | 44,593 | $198,544 | 5y | - |
Flag exposure
85.2%Market: 89.2%
This provider
Market baseline
Share of this provider's plans tripping any deterministic red flag this year. Lower than market baseline = better risk surface.
Aliases resolved (237)
Raw Schedule C names collapsed into UBS FINANCIAL SERVICES INC.
- 0.15%UBS FINANCIAL SERVICESINC
- BICE,/UBS
- BRAND,/UBS
- FINANCIAL SERVICES INC
- GAERTNER,/UBS
- J. THOMAS HALLERON UBS
- ROBBIE DE ROOY, UBS
- ROGERS UBS
- ROGERS,UBS
- SIMONETTI,/UBS
- THE WALKER GROUP, UBS FINANCIAL SER
- THE/UBS
- TRUMBALL PROPERTY FUND UBS REALTY
- TRUMBULL PROPERTY
- TRUMBULL PROPERTY FUND
- TRUMBULL PROPERTY FUND LP
- TRUMBULL PROPERTY FUND UBS REALTY
- UBBS FINANCIAL SERVICES, INC
- UBS
- UBS (US) TRUMBULL PROPERTY FUND LP
- UBS - RETIREMENT PLAN CONSULTING
- UBS AG
- UBS AG LONDON BRANCH
- UBS AG STAMFORD BRANCH
- UBS ASSET MANAGEMENT
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /retirement size filter. Up-and-to-the-right on the bigger segments = moving up-market.
Under $5M$5-50M$50-250M$250M-1B$1B+
Compliance posture vs market
Per-flag share for UBS FINANCIAL SERVICES INC's book against the same flag's overall prevalence across all filings. Negative delta = under-indexed (cleaner book); positive = elevated risk surface.
| Flag | Plans flagged | Provider % | Market % | Delta |
|---|---|---|---|---|
| Recently terminated | 21 | 1.70% | 7.76% | -6.06 pp |
| Fidelity bond gap | 40 | 3.24% | 26.94% | -23.70 pp |
| Late contributions | 250 | 20.28% | 1.71% | +18.56 pp |
| Failed to provide benefit | 24 | 1.95% | 0.14% | +1.81 pp |
| Corrective distributions | 308 | 24.98% | 1.76% | +23.22 pp |
| Loss discovered | 0 | 0.00% | 0.00% | -0.00 pp |
New-plan formation share
Share of plans filing for the first time each year that landed with UBS FINANCIAL SERVICES INC. Compare to the incumbent market share (1.8%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-1.8 pp vs incumbent
Geographic penetration index
(Provider plans in state / state plans) divided by the provider's overall share of the market. Index 1.00 = average; > 1 = over-indexed (winning more than their fair share); < 1 = under-indexed (white space).