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UBS GROUP AG COM
UBS GROUP AG COM. Institutional holdings reported to the SEC.

Institutional Holders (2014Q4)
Portfolio Summary: 145 Institutional holders with a total value of $11,602,699,181.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WHITTIER TRUST CO 64 1,000 0.00%
2 FineMark National Bank & Trust 65 1,000 0.00%
3 Lehman Brothers Holdings Inc. 117 2,000 0.00%
4 Archford Capital Strategies, LLC 93 2,000 0.00%
5 WFG Advisors, LP 94 2,000 0.00%
6 NATIONAL PLANNING CORP 160 2,670 0.00%
7 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 168 3,000 0.00%
8 Carroll Financial Associates, Inc. 286 5,000 0.00%
9 MV CAPITAL MANAGEMENT, INC. 399 7,000 0.00%
10 BESSEMER GROUP INC 392 7,000 0.00%
11 CENTRAL TRUST Co 500 9,000 0.00%
12 PALLADIEM, LLC 527 9,000 0.00%
13 Advisory Services Network, LLC 605 10,000 0.00%
14 First Horizon Advisors, Inc. 1,135 19,000 0.00%
15 MSI Financial Services Inc 1,425 24,000 0.00%
16 Simplicity Solutions, LLC 1,741 29,684 0.00%
17 THOMPSON DAVIS & CO., INC. 1,775 30,000 0.00%
18 Creative Planning 1,809 31,000 0.00%
19 Stratos Wealth Partners, LTD. 2,137 36,177 0.00%
20 HOWE & RUSLING INC 2,922 50,000 0.00%
21 FIRST NEW YORK SECURITIES LLC /NY 3,800 64,790 0.00%
22 US BANCORP \DE\ 4,576 78,000 0.00%
23 SEI INVESTMENTS CO 4,932 84,000 0.00%
24 JFS WEALTH ADVISORS, LLC 6,390 109,000 0.00%
25 HUNTINGTON NATIONAL BANK 7,098 121,000 0.00%
26 Manchester Capital Management LLC 7,483 128,000 0.00%
27 LOEWS CORP 10,625 181,000 0.00%
28 SHELTON CAPITAL MANAGEMENT 11,792 201,000 0.00%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,782 203,000 0.00%
30 AMERIPRISE FINANCIAL INC 12,580 214,000 0.00%
31 REGIONS FINANCIAL CORP 13,143 224,000 0.00%
32 First Allied Advisory Services, Inc. 13,067 224,000 0.00%
33 BOGLE INVESTMENT MANAGEMENT L P /DE/ 13,400 228,000 0.00%
34 Frontier Wealth Management LLC 13,695 233,000 0.00%
35 ADVISOR PARTNERS LLC 13,718 235,000 0.00%
36 HighTower Advisors, LLC 13,783 235,000 0.00%
37 Checchi Capital Advisers, LLC 14,327 237,000 0.00%
38 STONERIDGE INVESTMENT PARTNERS LLC 14,641 250,000 0.00%
39 BNP PARIBAS FINANCIAL MARKETS 17,091 291,402 0.00%
40 WMS Partners, LLC 22,250 379,000 0.00%
41 SCHAFER CULLEN CAPITAL MANAGEMENT INC 22,627 386,000 0.00%
42 Cubist Systematic Strategies, LLC 23,366 398,000 0.00%
43 CAPITAL ONE, NATIONAL ASSOCIATION 23,445 400,000 0.00%
44 Legg Mason Asset Management (Japan) Co., Ltd. 25,921 442,000 0.00%
45 Janney Montgomery Scott LLC 26,423 450,512 0.00%
46 CONNABLE OFFICE INC 29,256 499,000 0.00%
47 NorthRock Partners, LLC 29,668 506,000 0.00%
48 Virtu KCG Holdings LLC 29,943 511,000 0.00%
49 OLD NATIONAL BANCORP /IN/ 32,551 555,000 0.00%
50 TWO SIGMA INVESTMENTS, LP 34,766 593,000 0.01%
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From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.