Ubs Swiss Financial Advisers Ag (Zurich)


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/.

Registered investment advisers similar to Ubs Swiss Financial Advisers Ag