Providers › Investment advisory and management
Service provider · Schedule C, plan year 2024
UBS Financial Services Inc.
Most often reported for investment advisory and management
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. Schedule C lists only providers a plan paid $5,000 or more, and is filed only by plans with 100 or more participants.
For plan year 2024, 1,078 retirement plans with 100 or more participants reported paying UBS Financial Services Inc. $5,000 or more. Those plans cover 1,688,070 participant records, and the service most often reported is investment advisory and management.
Reported compensation from those plans, direct and indirect, totalled $54.5M. Per plan, the median was $83.17 per participant, with the middle half of plans between $38.03 and $149. These are amounts plans reported paying this organisation, not a price list: they depend on which services each plan buys and on how much is paid through fund expenses instead.
Its client plans are most numerous in New York (123), California (110) and Ohio (85).
In 2009 it appeared on 621 such filings; in 2024, 1,080 (up 74%). Yearly counts include every filing that names it, so they can run slightly above the number of plans with pages here, and name or EIN changes after mergers can break the series.
Reported compensation per plan
| Across this provider's plans | 25th percentile | Median | 75th percentile |
|---|---|---|---|
| Compensation per participant | $38.03 | $83.17 | $149 |
| Compensation as a share of plan net assets | 0.07% | 0.16% | 0.23% |
What each plan reported paying this organisation, not the plan's total cost. For reference, the median US defined contribution plan reported $123 per participant to all Schedule C providers combined.
Plans served by year
Matched by employer identification number. A merger or a change of filing entity starts a new series, so a drop to zero is not a loss of clients by itself.
By state
By plan size
Services reported
Largest plans naming this provider
| Plan | Sponsor | State | Participants | Net assets | Reported to this provider |
|---|---|---|---|---|---|
| Cognizant Technology Solutions 401(k) Savings Plan | Cognizant Technology Solutions | NJ | 54,490 | $3.04B | $83K |
| Menard, Inc. 401(k) Plan | Menard, Inc. | WI | 54,287 | $282M | $40K |
| National Veterinary Associates, Inc. 401(k) Plan | National Veterinary Associates, Inc. | CA | 52,955 | $809M | $20K |
| Oak View Group 401(k) Plan | Oak View Group, LLC | PA | 50,766 | $176M | $82K |
| Wellstar Health System, Inc. Supplemental Retirement Savings Plan | Wellstar Health System, Inc. | GA | 48,753 | $2.84B | $40K |
| Brightspring Health Services Retirement Savings Plan | Brightspring Health Services | KY | 47,721 | $794M | $63K |
| The MGM Resorts 401(k) Savings Plan | MGM Resorts International | NV | 43,365 | $2.24B | $244K |
| Genuine Parts Company 401(k) Savings Plan | Genuine Parts Company | GA | 40,665 | $2.54B | $200K |
| HCL America, Inc. 401(k) Plan | HCL America Inc. | CA | 25,624 | $1.49B | $405K |
| Amedisys Holding, LLC 401(k) Plan | Amedisys Holding, L.L.C. | LA | 24,237 | $955M | $172K |
| Operating Engineers Local 12 Defined Contribution Trust | Board of Trustees, Operating Engineers Local 12 | CA | 23,643 | $518M | $73K |
| Southeast Laborers Supplemental Pension Fund | Board of Trustees - Southeast Laborers Supplemental Pension Fund | TN | 22,832 | $48.7M | $47K |
| Wellstar Health System, Inc. Pension Plan | Wellstar Health System, Inc. | GA | 21,242 | $1.50B | $363K |
| Demoulas (Restated) Profit Sharing Plan & Trust | Demoulas Super Markets, Inc. | MA | 19,337 | $1.12B | $1.3M |
| Wellstar Health System, Inc. Active Employees Retirement Plan B | Wellstar Health System, Inc. | GA | 18,563 | $620M | $33K |
| Retirement Plan of Carilion Clinic | Carilion Clinic | VA | 17,990 | $1.44B | $39K |
| Seminole Indian Casino 401(k) Plan | Seminole Tribe of Florida | FL | 17,330 | $396M | $136K |
| Hard Rock Futurecare 401(k) Plan | Seminole Hard Rock Entertainment, Inc. Hard Rock International | FL | 16,256 | $255M | $79K |
| Saber Healthcare 401(k) Profit Sharing Plan | Saber Healthcare Group, L.L.C | OH | 16,211 | $71.2M | $45K |
| Cleveland-Cliffs Steel LLC Hourly 401(k) Plan | Cleveland-Cliffs Steel LLC | OH | 15,095 | $1.67B | $65K |
| SS&C Technologies, Inc. 401(k) Retirement Savings Plan | SS&C Technologies, Inc. | CT | 14,548 | $1.80B | $75K |
| Uc Health 401(k) Retirement Savings Plan | Uc Health, LLC | OH | 14,420 | $758M | $57K |
| Sports, Hospitality and Entertainment 401(k) Plan | Fertitta Entertainment, Inc. | TX | 13,742 | $181M | $100K |
| United Food and Commercial Workers Local 1500 Annuity Plan | Board of Trustees UFCW Local 1500 Annuity Fund | NY | 13,729 | $46.9M | $155K |
| Slalom 401(k) Plan | Slalom, Inc. | WA | 13,725 | $1.57B | $68K |
| Charles River Laboratories, Inc. Savings/plus Plan | Charles River Laboratories, Inc. | MA | 13,643 | $1.07B | $84K |
| Staples US Retail 401(k) Retirement Plan | Usr Parent Inc. | MA | 12,880 | $405M | $50K |
| Community Hospitals of Central California Tax Sheltered Annuity Plan | Community Hospitals of Central California | CA | 12,380 | $673M | $119K |
| American Financial Group 401(k) Retirement and Savings Plan | American Financial Group, Inc. | OH | 10,455 | $2.32B | $156K |
| Lyondellbasell Savings Plan | Lyondell Chemical Company | TX | 10,398 | $2.67B | $99K |
| Adidas 401(k) Savings and Retirement Plan | Adidas America, Inc. | OR | 10,394 | $956M | $99K |
| Western Express, Inc. 401(k) Plan | Western Express, Inc. | TN | 9,293 | $10.6M | $19K |
| Parts Authority LLC Profit SHARE/401K Plan | Parts Authority LLC | NY | 9,206 | $77.5M | $45K |
| Eduserve/csusa Retirement Plan | Eduserve, Inc. | FL | 8,789 | $84.0M | $85K |
| L.L. Bean 401(k) Retirement Savings Plan | LL Bean Inc. | ME | 8,467 | $803M | $62K |
| Excel Group 401(k) Savings Plan | Excel Contractors, LLC | LA | 8,192 | $53.6M | $81K |
| Trueblue, Inc. 401(k) Plan | Trueblue, Inc. | WA | 7,646 | $95.6M | $42K |
| AAA Club Alliance Inc. 401(k) Retirement Savings Plan | AAA Club Alliance Inc. | DE | 7,505 | $562M | $103K |
| Heico Holding, Inc. 401(k) Plan | Heico Holding, Inc. | IL | 7,381 | $437M | $117K |
| Driven Brands, Inc. Employee Retirement Savings Plan | Driven Brands Inc. | NC | 7,168 | $79.9M | $49K |
Questions and answers
How many plans does UBS Financial Services Inc. serve?
1,078 plans with 100 or more participants named it on Schedule C for plan year 2024. Plans that paid it under $5,000, small plans that file Form 5500-SF, and plans whose filings spell its name without an EIN under a different form are not counted.
What do plans pay UBS Financial Services Inc.?
The median plan reported $83.17 per participant in direct and indirect compensation (1,072 plans reporting an amount), or 0.16% of plan net assets. Eligible indirect compensation disclosed to the plan by formula is not reported as a dollar amount, so many filings understate what a provider receives.
What services are reported?
The service codes most often attached to it are Investment advisory (plan) (780 plans), Other services (94 plans), Trustee (bank, trust company, or similar financial institution) (92 plans) and Recordkeeping and information management (91 plans).
Where does this come from?
Schedule C of Form 5500, Part I line 2, from the EBSA research files with filings received through 24 Aug 2026. Individuals named on Schedule C are excluded from this site.
Provenance
Source: U.S. Department of Labor, Employee Benefits Security Administration, Form 5500 research files, Schedule C Part I line 2, public domain, with filings received through 24 Aug 2026. Rows are grouped by the provider's EIN as entered by each plan; rows without an EIN join the EIN most often filed under the same name. Providers named on fewer than 25 plans have no page. See the methodology and corrections.