Ubs Swiss Financial Advisers Ag (Zurich)

Name: Ubs Swiss Financial Advisers Ag
Address: Loewenstrasse 49, Zurich, 8001
Telephone: +41-44-2173100

Ubs Swiss Financial Advisers Ag is a large advisory firm based in Zurich. It manages $4.15 billion of regulatory assets for 1,329 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Ubs Swiss Financial Advisers Ag provides portfolio management for individuals and small businesses, portfolio management for businesses and institutional clients, and publication of newsletters. 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 Swiss Financial Advisers Ag: assets under management

The assets under management (AUM) of Ubs Swiss Financial Advisers Ag is $4.15 billion. The firm's AUM has grown by 764% since the beginning of its operation, and $1.05 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $1.87 billion in discretionary accounts and $2.28 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.45 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $4.01 million.

Ubs Swiss Financial Advisers Ag has custody of $4.4 billion in cash and securities for 1,391 clients in total and acts as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 34% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 23% of the firm’s portfolio. Investments in investment grade corporate bonds form 18% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Ubs Swiss Financial Advisers Ag 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.

What kind of clients Christoph Max Pestalozzi serves?

The firm provides services to individuals, high net worth individuals, and corporations or other businesses. The largest group of clients of Christoph Max Pestalozzi is high net worth individuals with 563 clients and $3.08 billion of assets under management. Among the 10 most similar advisory firms, Ubs Swiss Financial Advisers Ag has the 5th highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $4.02 billion for 1,319 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 31% of the firm’s clients are foreign persons or businesses.

Ubs Swiss Financial Advisers Ag doesn't advise any private funds.

Careers at Ubs Swiss Financial Advisers Ag

The company employs 61 people that are either part- or full-time employees. 54 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 3 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Christoph Max Pestalozzi has been acting as President since 1 May 2009. Hendrik Geldenhuys joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ubs Ag	Owner	1 Jan 2004	75% - 100%	98-0186363
Michel Guignard	Chairman/director	1 Jan 2004	Other	4755637
Michel Philippe Guignard	Chairman/director	1 Jan 2004	Other	4755637
Christoph Pestalozzi	Director	1 Feb 2004	Other	4761464
Christoph Max Pestalozzi	Director	1 Feb 2004	Other	4761464
Fritz Rieder	Director	1 Oct 2004	Other	4877266
Daniel Heini	Chief compliance officer	1 Nov 2004	Other	4761471
Daniel Anton Heini	Chief compliance officer	1 Nov 2004	Other	4761471
Gilbert Frederick Benz	Chief executive officer	1 Dec 2004	Other	1981563
Gian Matter	Chief financial officer	1 Dec 2004	Other	4761470
Rene Stiefelmeyer	Director, markets	1 Dec 2004	Other	4761483
Beat Weber	Director, operations & it	1 Dec 2004	Other	4761478
Guido Latini	Head of products	1 Dec 2004	Other	4877268
Gian Marco Matter	Chief financial officer	1 Dec 2004	Other	4761470
Rene Marty	Director	1 Jan 2005	Other	4877270
Pascal Dominique Koeppel	Head investment management	1 Oct 2005	Other	5095172
Susanne Maron Ochsner	Chief operating officer	1 Apr 2006	Other	5122868
Susanne Maron	Chief operating officer	1 Apr 2006	Other	5122868
Adrian Josi	Chief compliance officer	1 Jun 2006	Other	5122866
Markus Kaelin	Chief financial officer	1 Nov 2006	Other	5308218
Aviva Rothman Reuter	Head business development	1 Feb 2007	Other	2488746
Aviva Rothman Reuter	Head market strategy and development	1 Apr 2007	Other	2488746
Anne Nietlispach	Chief operating officer (from 04/2008)	1 Apr 2008	Other	5502427
Rene Elste	Head wealth management consulting	1 Sep 2008	Other	4273561
Gian Marco Matter	Chief operating officer	1 Sep 2008	Other	4761470
Christoph Max Pestalozzi	Director	1 May 2009	Other	4761464
Gian Marco Matter	Chief operating officer & ceo a.i.	1 Aug 2009	Other	4761470
Gabriel Castello	Chairman/director	1 Aug 2009	Other	5710697
Rene Marty	Chief executive officer	1 Oct 2009	Other	4877270
Gian Marco Matter	Chief operating officer	1 Oct 2009	Other	4761470
Piia Pasanen	Chief financial officer	1 Feb 2010	Other	5753695
Rene Silvio Bettschen	Chief compliance officer	1 Apr 2010	Other	5198736
Thomas Lysser	Chief operating officer	1 Aug 2010	Other	5843751
Eric Stupp	Director	1 Jan 2011	Other	5913081
Juerg P.R. Wicki	Chairman / director	1 Jan 2011	Other	5913084
Markus Dieter Kameisis	Chief financial officer	1 Dec 2011	Other	5992333
Andreas Przewloka	Chairman/director	1 Apr 2012	Other	6056386
Volker Hans Niederlaender	Chief compliance officer	1 Jan 2013	Other	6130150
Reto Ernst Gaehler	Chief financial officer	1 Dec 2013	Other	6311371
Beat Wolfer	Head finance	1 Mar 2016	Other	6618669
Alexandria Ara Schindler	Ed, ubs business solutions ag, ubs swiss financial advisers legal	1 Jul 2016	Other	5051119
Kate Bingisser	Chief compliance officer	1 Sep 2016	Other	6701284
Heinrich Baer	Head ubs swiss financial advisers	1 Oct 2016	Other	6723268
Gabriel Ramon Castello Taliani	Chairman/director	1 Nov 2016	Other	6729105
Jürgen Wegner	Head ubs swiss financial advisers	1 Jan 2017	Other	6749128
Roland Nitsch	Head operations	1 Sep 2017	Other	6864138
Martin Baumert	Head operating office	1 Jan 2018	Other	6902146
Theodore Haertsch	Director	1 Jan 2019	Other	7071681
Hendrik Geldenhuys	Director	1 Jun 2019	Other	7157328
Christian Stambach	Director	1 Jun 2019	Other	7157335

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Ubs Group Ag	Indirect owner	1 Nov 2014	75% - 100%	foreign

Based in Zurich

The principal office where Ubs Swiss Financial Advisers Ag performs its advisory services is located at Loewenstrasse 49, Zurich, 8001 The mailing address of the firm is P.O. Box, Zurich, 8098. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number +41-44-2173100 or by fax +41-44-2173110. The normal business hours are 9 am - 5 pm cet on Monday - Friday. You can find more information about the New York firm at ubs.com/ubs-sfa/.