UBS Financial Services
broker221 known aliases resolved via the canonical alias map
Market position · 2024
Plans served1,179-58 YoYRank #20 of mapped providers
Assets under administration$143.7B0.2%Market share · rank #92
Fees received$58MMedian $37,450/planSum across Schedule C direct + indirect
Net wins YoY-51142 won · 193 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 plan look like?
Service mix · median fees per plan
Count of plans where UBS Financial Services 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 | 782 | $38,556 | |
Trustee (bank, trust company, or similar financial institution); Recordkeeping fees; Other fees; Recordkeeping and information management (computing, tabulating, data processing, etc.); Other services; Direct payment from the planCode 15 | 91 | $26,496 | |
Securities brokerage; Investment management; Investment management fees paid directly by plan; Investment advisory (participants)Code 26 | 86 | $29,465 | |
Investment advisory (plan); Insurance brokerage commissions and fees; Insurance services; Consulting (general)Code 16 | 58 | $47,257 | |
Other feesCode 99 | 52 | $22,044 | |
Securities brokerage commissions and fees; Investment managementCode 28 | 43 | $54,647 | |
Other commissionsCode 55 | 14 | $31,345 | |
Trustee (bank, trust company, or similar financial institution); Investment advisory (plan); Custodial (securities)Code 19 | 12 | $55,538 |
Competitor overlap
Percent of UBS Financial Services'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.
| Sponsor | From | Assets |
|---|---|---|
STEELWORKERS PENSION TRUSTPA · 236648508-499 | MICHELLE BONHAM | $7.2B |
BOT OF THE NORTH ATLANTIC STATES CARPENTERS PENSION FUNDMA · 516040899-001 | Hardman Johnston Global Advisors | $5.1B |
SALT RIVER VALLEY WATER USERS ASSOCIATIONAZ · 860053220-335 | UBS Realty Investors | $2.9B |
PACE INDUSTRY UNION-MANAGEMENT PENSION FUNDTN · 116166763-001 | Meketa Investment Group | $2.8B |
CLEVELAND-CLIFFS STEEL LLCOH · 710871875-007 | Fiducient Advisors | $1.7B |
CLEVELAND-CLIFFS STEEL LLCOH · 710871875-005 | Fiducient Advisors | $1.1B |
FAIR ISAAC CORPORATIONCA · 941499887-003 | Strategic Advisers | $822M |
NATIONAL VETERINARY ASSOCIATES, INC.CA · 954578066-001 | Empower | $809M |
CLEVELAND-CLIFFS STEEL CORPORATIONOH · 311267098-005 | T. Rowe Price | $783M |
CLEVELAND-CLIFFS STEEL CORPORATIONOH · 311267098-007 | Fiducient Advisors | $604M |
Plans lost in 2024
Appeared last year under UBS Financial Services; not this year.
| Sponsor | To | Assets |
|---|---|---|
MARS, INCORPORATEDNJ · 221594774-001 | Trust Company of the West | $5.3B |
BOARD OF TRUSTEES,CONSTRUCTION LABORERS PENSION TRUST FOR SOUTHERN CACA · 436159056-001 | Calibre CPA Group PLLC | $3.3B |
BOARD OF TRUSTEES, CALIFORNIA IRONWORKERS FIELD PENSION TRUST FUNCA · 956042866-001 | RVK, Inc. | $3.0B |
TRUSTEES OF IBEW LOCAL UNION NO.126 RETIREMENT PLANPA · 232156093-001 | Morgan Stanley | $730M |
BOARD OF TRUSTEES TEAMSTERS LOCAL 641 PENSION FUNDNJ · 226220288-001 | DIANE FLORIAN | $568M |
KAMAN CORPORATIONCT · 060613548-008 | UBS Global Asset Management | $557M |
LAITRAM LLCLA · 760719479-002 | Strategic Advisers | $516M |
COX, CASTLE & NICHOLSON LLPCA · 952547124-003 | Milliman | $236M |
STELLAR INDUSTRIES, INCID · 421354535-001 | (new plan) | $230M |
FARELLA BRAUN AND MARTEL LLPCA · 941527242-001 | High Tower Advisors | $222M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
STEELWORKERS PENSION TRUSTPA · 236648508-499 | $7.2B | 123,674 | $5,166 | 1y | - |
BOT OF THE NORTH ATLANTIC STATES CARPENTERS PENSION FUNDMA · 516040899-001 | $5.1B | 45,727 | $111,826 | 1y | - |
TRUSTEES OF I.B. OF T. UNION LOCAL 710 PENSION FUNDIL · 362377656-001 | $4.5B | 21,566 | $40,160 | 10y | - |
BOT OF THE NORTH ATLANTIC STATES CARPENTERS GUARANTEED ANNUITY FUNDMA · 042776873-001 | $3.8B | 23,724 | $17,551 | 6y | - |
BAE SYSTEMS, INC.VA · 223537950-050 | $3.2B | 20,783 | $186,910 | 5y | - |
COGNIZANT TECHNOLOGY SOLUTIONSNJ · 133924155-001 | $3.0B | 54,490 | $82,500 | 5y | 2 |
SALT RIVER VALLEY WATER USERS ASSOCIATIONAZ · 860053220-335 | $2.9B | 11,406 | $51,360 | 1y | - |
PACE INDUSTRY UNION-MANAGEMENT PENSION FUNDTN · 116166763-001 | $2.8B | 60,684 | $131,844 | 1y | - |
TRUSTEES OF NYS TEAMSTERS CONFERENCENY · 166063585-074 | $2.8B | 32,657 | $109,980 | 10y | - |
LYONDELL CHEMICAL COMPANYTX · 954160558-007 | $2.7B | 10,398 | $99,197 | 8y | 3 |
Flag exposure
84.6%Market: 89.1%
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 (221)
Raw Schedule C names collapsed into UBS Financial Services.
- 0.15%UBS FINANCIAL SERVICESINC
- BICE,/UBS
- GAERTNER,/UBS
- J. THOMAS HALLERON UBS
- JOSEPH SALERNO
- JOSEPH SCHIAVO
- JOSEPH STERN CO
- JOSEPH STERN CPA
- JOSEPH TRUGLIO
- JOSEPH VERRI
- JOSEPH W HAYES
- JOSEPH W MCCARTHY & ASSOC
- JOSEPH W. MCCARTHY & ASSOC.
- JOSEPH W. PRINCIPE
- JOSEPH WARD
- JOSEPH WILLIAM VAN DEUSEN
- JOSEPH WONG
- JOSEPHINE BURROWS
- JOSEPHSON & DOLINGER, CPA'S P.C.
- JOSEPHSON INSURANCE AGENCY
- JOSH ROACH
- JOSH SACHS
- JOSH SACKS
- JOSH TODD
- JOSHUA BREWER
Book composition by plan size
Bars stack to total plans served; segments use the same asset cutoffs as the /plans 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'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 | 18 | 1.53% | 7.76% | -6.24 pp |
| Fidelity bond gap | 40 | 3.39% | 26.94% | -23.55 pp |
| Late contributions | 249 | 21.12% | 1.71% | +19.41 pp |
| Failed to provide benefit | 23 | 1.95% | 0.14% | +1.81 pp |
| Corrective distributions | 305 | 25.87% | 1.76% | +24.11 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. Compare to the incumbent market share (1.8%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-1.8 pp vs incumbent
Frequent partners by role
Who else shows up on UBS Financial Services's plans most often. Switch tabs by counterparty role - high-overlap names are either referral channels (advisors, auditors) or competitive blocks (other recordkeepers).
| Partner | Shared plans | % of book |
|---|---|---|
| Strategic Advisers | 55 | 4.7% |
| Morningstar Investment Management | 30 | 2.5% |
| USI Consulting Group | 10 | 0.8% |
| QDRO CONSULTANTS COMPANY, LLC | 9 | 0.8% |
| Wilshire Associates | 9 | 0.8% |
| WTW | 9 | 0.8% |
| Aon | 7 | 0.6% |
| Milliman | 7 | 0.6% |
| Goldman Sachs Asset Management | 6 | 0.5% |
| Loomis Sayles | 6 | 0.5% |
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).