UBS Global Asset Management
advisor19 known aliases resolved via the canonical alias map
Market position · 2024
Plans served23-2 YoYRank #728 of mapped providers
Assets under administration$35.0B0.0%Market share · rank #429
Fees received$3MMedian $72,283/planSum across Schedule C direct + indirect
Net wins YoY-14 won · 5 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 Global Asset Management plan look like?
Service mix · median fees per plan
Count of plans where UBS Global Asset Management ships each service code, and the median compensation they report under it.
| Service | Plans | Median fees | Distribution |
|---|---|---|---|
Investment management; Investment management fees paid indirectly by planCode 28 | 16 | $101,311 | |
Consulting (general); Other fees; Investment advisory (plan); Distribution (12b-1) feesCode 16 | 2 | $8,083 | |
Investment advisory (plan)Code 27 | 2 | $89,427 | |
Soft dollars commissions; Investment management fees paid directly by planCode 51 | 2 | $16,728 | |
Custodial (other than securities); Investment management fees paid directly by planCode 18 | 1 | $113,262 |
Competitor overlap
Percent of UBS Global Asset Management'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 Global Asset Management.
| Sponsor | From | Assets |
|---|---|---|
PEPSICO, INC.NY · 131584302-004 | John Hancock | $6.8B |
PEPSICO, INC.NY · 131584302-121 | John Hancock | $4.2B |
BOARD OF TRUSTEES-NEW ENGLAND HEALTH CARE EMPLOYEES PENSION FUNDCT · 223071963-001 | Smith Graham & Co. | $1.0B |
KAMAN CORPORATIONCT · 060613548-008 | UBS Financial Services | $521M |
Plans lost in 2024
Appeared last year under UBS Global Asset Management; not this year.
| Sponsor | To | Assets |
|---|---|---|
MICHELIN NORTH AMERICA, INCSC · 111724631-010 | JPMorgan Chase | $2.1B |
STP NUCLEAR OPERATING COMPANYTX · 760517597-001 | Prudential Bank & Trust Company | $389M |
R.R. DONNELLEYIL · 361004130-022 | John Hancock | $378M |
TRIHEALTH, INC.OH · 311438846-001 | Fifth Third Bank | $111M |
MTD PRODUCTS INCOH · 061650267-302 | Prudential Bank & Trust Company | $104M |
Top plans by assets
Searchable full list lands with the commercial layer.
| Plan | Assets | Participants | Fees | Tenure | Flags |
|---|---|---|---|---|---|
PEPSICO, INC.NY · 131584302-004 | $6.8B | 55,326 | $14,765 | 5y | - |
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 | 9y | 1 |
CUMMINS INC.IN · 350257090-001 | $3.2B | 44,593 | $198,544 | 5y | - |
DANAHER CORPORATIONDC · 591995548-003 | $1.9B | 21,071 | $560,384 | 8y | - |
CENTRAL MAINE POWER COMPANYCT · 010042740-001 | $1.6B | 8,230 | $18,587 | 4y | - |
MARTIN MARIETTA MATERIALS, INC.NC · 561848578-002 | $1.3B | 16,206 | $112,783 | 10y | - |
GROWMARK INC.IL · 370815318-334 | $1.1B | 7,445 | $296,137 | 7y | - |
BOARD OF TRUSTEES-NEW ENGLAND HEALTH CARE EMPLOYEES PENSION FUNDCT · 223071963-001 | $1.0B | 21,117 | $89,839 | 1y | - |
Flag exposure
100.0%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 (19)
Raw Schedule C names collapsed into UBS Global Asset Management.
- JP MORGAN ASSET MANAGER
- UBS CAPITAL MANAGEMENT
- UBS GLOBAL
- UBS GLOBAL ASSET MANAGEMENT
- UBS GLOBAL ASSET MANAGEMENT (AMERIC
- UBS GLOBAL ASSET MANAGEMENT (US)
- UBS GLOBAL ASSET MANAGEMENT AMERICA
- UBS GLOBAL ASSET MANAGEMENT INC.
- UBS GLOBAL ASSET MANANGEMENT
- UBS GLOBAL ASSET MANGEMENT
- UBS GLOBAL ASSET MGMT
- UBS GLOBAL ASSET MGMT (AMERICAS)
- UBS GLOBAL ASSET MGMT (AMERICAS) I
- UBS GLOBAL ASSET MGMT.
- UBS GLOBAL ASSET MGT TRUST COMPANY
- UBS GLOBAL ASSETS MANAGEMENT
- UBS GLOBAL ASSSET MANAGEMENT
- UBS GLOBAL SECURITIES COLLECTIVE FD
- USB GLOBAL ASSET MANAGEMENT
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 Global Asset Management'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 | 3 | 13.04% | 7.76% | +5.28 pp |
| Fidelity bond gap | 0 | 0.00% | 26.94% | -26.94 pp |
| Late contributions | 0 | 0.00% | 1.71% | -1.71 pp |
| Failed to provide benefit | 1 | 4.35% | 0.14% | +4.21 pp |
| Corrective distributions | 0 | 0.00% | 1.76% | -1.76 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 Global Asset Management. Compare to the incumbent market share (0.0%) - higher = winning new business, lower = coasting on existing relationships.
0.0%-0.0 pp vs incumbent
Frequent partners by role
Who else shows up on UBS Global Asset Management'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 |
|---|---|---|
| Morgan Lewis & Bockius LLP | 3 | 13.0% |
| Groom Law Group, Chartered | 2 | 8.7% |
| Kilpatrick Townsend & Stockton LLP | 2 | 8.7% |
| Thompson Coburn | 2 | 8.7% |
| Baum Sigman Auerbach & Neuman, Ltd. | 1 | 4.3% |
| Cohen Weiss & Simon LLP | 1 | 4.3% |
| Covington & Burling LLP | 1 | 4.3% |
| Hinman Howard & Kattell LLP | 1 | 4.3% |
| LAW FIRM OF JOHN M. CREANE | 1 | 4.3% |
| McDermott Will & Emery LLP | 1 | 4.3% |