Employer · plans filed under one EIN
UBS Financial Services Inc.
Weehawken, NJ · Finance and insurance
Form 5500 information is as filed by the plan administrator with the Department of Labor and may be amended. Figures reflect the plan year shown, not current balances.
UBS Financial Services Inc., based in Weehawken, New Jersey, sponsors 2 retirement plans with 100 or more participants: 1 defined contribution and 1 defined benefit. Together they reported 8,292 participant records and $634M in net assets.
The largest is UBS Financial Services Inc. Pension Plan, a defined benefit pension plan with 8,083 participants. A person can be counted in more than one plan, so the participant total is a count of records rather than of people.
Employer contributions across the plans were $1.2M and participant contributions $1.4M in the latest plan years; benefits paid were $65.8M. Schedule C compensation reported to service provider organisations totalled $3.2M.
Combined net assets moved from $707M in 2009 to $634M in 2024 (down 10%). Plan mergers and spin-offs show up here as steps in the series.
Plans
| Plan | Kind | Plan year | Participants | Net assets | Per participant | Employer / active | Sch. C compensation |
|---|---|---|---|---|---|---|---|
| UBS Financial Services Inc. Pension Plan | defined benefit pension plan | 2024 | 8,083 | $577M | $71,365 | — | $3.1M |
| UBS Financial Services Inc. of Puerto Rico Savings Plus Plan Trust | 401(k) plan | 2024 | 209 | $57.3M | $274,379 | $8,477 | $43K |
| US median, plan year 2024: DC plans $53,102 per participant, $2,175 employer contribution per active participant; DB plans $86,221 and $10,244. | |||||||
Trend by plan year
| Plan year | Plans | Participant records | Net assets | Employer contributions | Participant contributions |
|---|---|---|---|---|---|
| 2024 | 2 | 8,292 | $634M | $1.2M | $1.4M |
| 2023 | 2 | 8,635 | $682M | $1.2M | $1.4M |
| 2022 | 2 | 9,029 | $687M | $1.2M | $1.4M |
| 2021 | 2 | 9,497 | $934M | $1.2M | $1.4M |
| 2020 | 1 | 9,650 | $911M | $0 | $0 |
| 2019 | 1 | 10,015 | $869M | $0 | $0 |
| 2018 | 1 | 10,313 | $788M | $0 | $0 |
| 2017 | 1 | 10,690 | $886M | $0 | $0 |
| 2016 | 1 | 11,010 | $838M | $60.0M | $0 |
| 2015 | 1 | 11,311 | $806M | $183M | $0 |
| 2014 | 1 | 11,507 | $694M | $55.3M | $0 |
| 2013 | 1 | 11,665 | $675M | $85.8M | $0 |
| 2012 | 1 | 15,863 | $802M | $18.9M | $0 |
| 2011 | 1 | 16,139 | $740M | $5.6M | $0 |
| 2010 | 1 | 16,382 | $747M | $6.5M | $0 |
| 2009 | 1 | 16,489 | $707M | $100M | $0 |
History of the plans listed above, in the years each filed the full Form 5500 with 100 or more participants. Plans that have since terminated are not included.
Service providers
| Organisation | Services reported | Plans | Compensation reported |
|---|---|---|---|
| Alight Solutions LLC | Recordkeeping and information management; Securities brokerage | 2 | $989,674 |
| Loomis Sayles and Co. L.P. | Investment management | 1 | $397,691 |
| Mercer Investment LLC | Investment advisory (plan) | 1 | $317,114 |
| Atlanta Capital Management Co., LLC | Investment management | 1 | $169,718 |
| Eagle Capital Management, LLC | Investment management | 2 | $155,697 |
| Deloitte Consulting LLP | Actuarial | 1 | $146,700 |
| Invesco Trust Company | Investment management | 1 | $145,016 |
| Voya Investment Management Co. | Investment management | 1 | $128,817 |
| Ernst & Young | Accounting (including auditing) | 1 | $113,000 |
| Legal & General Investment | Investment management | 1 | $101,442 |
| Legg Mason, Inc. and Subsidiaries | Investment management | 1 | $88,525 |
| Capital Group Private Client Serv. | Investment management | 1 | $74,364 |
| Pershing LLC | — | 1 | $23,757 |
Organisations paid $5,000 or more by any of these plans, from Schedule C. Individuals are not shown.
Questions and answers
How many retirement plans does UBS Financial Services Inc. have?
2 plans with 100 or more participants filed Form 5500 under its employer identification number for the latest plan years: UBS Financial Services Inc. Pension Plan and UBS Financial Services Inc. of Puerto Rico Savings Plus Plan Trust. Smaller plans and plans filed under a subsidiary's number are not grouped here.
How much does UBS Financial Services Inc. contribute to its plans?
$1,178,314 in employer contributions across these plans in their latest plan years, about $1,160 per active participant record. Form 5500 reports totals and not the match or accrual formula.
Who provides services to these plans?
Schedule C filings name Alight Solutions LLC, Loomis Sayles and Co. L.P., Mercer Investment LLC and Atlanta Capital Management Co., LLC and others. Only organisations paid $5,000 or more by a plan are listed on Schedule C.
Where does this come from?
Form 5500 annual reports filed with the Department of Labor's EFAST2 system, from the EBSA research files, with filings received through 24 Aug 2026. Figures are as filed and may be amended.
Provenance
Source: U.S. Department of Labor, Employee Benefits Security Administration, Form 5500 research files, public domain, with filings received through 24 Aug 2026. Plans are grouped by the sponsor's employer identification number exactly as filed; a company that files under several EINs appears as several employers. See the methodology and corrections.