When you manage a defined contribution retirement plan, it helps to have an advantage. And we give you advantages that can make a real difference in your ability to manage your plan.
Our Retirement Plan Consultants1 offer retirement plan experience, customized advice and broad financial insights from one of the world’s leading wealth management firms2.
Our customized consulting process incorporates your plan's needs and considers industry changes. Using our Plan Management Roadmap, you'll collaborate with a Consultant who can help you implement sound fiduciary governance, optimize plan health and prepare your employees for life beyond retirement. You can gain all these advantages without changing your current recordkeeper.
Find out how our retirement plan experience, combined with the strength of UBS, can help you manage your plan in the best interests of your participants.
Are you meeting your obligations as a plan sponsor?
Let one of our Senior Retirement Plan Consultants help you with a plan consultation.
A trusted resource
Trusted, objective, knowledgeable
Our mission is to help you make your plan the best it can be.
We're a national network of experienced Retirement Plan Consultants2 providing customized service and objective advice to more than 2,000+ retirement plans, representing more than $85 billion in plan assets3.
We're part of UBS AG, a leading global wealth management firm with a 150-year heritage and among the most highly capitalized balance sheets in our peer group–including $3.3 trillion in Global Wealth Management invested assets.4, 6
We can customize our Plan Management Roadmap to help you accomplish your objectives.
We're a source of retirement thought leadership and practical financial knowledge—providing actionable financial guidance to help your employees prepare for retirement.
Delivering what matters
Plans we serve
Through our Institutional Consulting and Retirement Plan Consulting Services programs, we provide advisory services to more than 2,000 retirement plans comprising over $85 billion in assets.3 These include defined contribution plans, defined benefit plans, and nonqualified deferred compensation plans.
Our clients are organizations of all sizes–in manufacturing, business and professional services, state and local government, healthcare and more.
Keeping you informed
Our reporting and insights can help you stay up-to-date with management best practices and help prepare you for emerging developments and regulatory changes.
Resources for plan participants
Quarterly participant newsletter: Helpful education for informed retirement decisions.
Financial Wellness Center
An online education portal consisting of videos, tutorials, podcasts and articles to help plan participants prepare for their financial future.
Tools to help plan participants balance their budget, review their financial situation and invest smartly.
Insights for Fiduciaries
Thoughtful in-depth analysis of fee disclosure, plan expenses, fiduciary risk and more.
Need-to-know information about legislative changes, technical updates and best practices.
Must-have updates on what's happening in Congress—focusing on financial services and regulatory measures.
1Retirement Plan Consultants, as that term is used in this document, are financial advisors who have the experience and education, and who are approved by UBS Financial Services Inc., to provide advisory services to participant– directed defined contribution retirement plans. To be eligible for the UBS Retirement Plan Consulting Services program, Financial Advisors must demonstrate a minimum level of retirement plan knowledge and experience by meeting program eligibility requirements.
2Source: UBS Corporate Profile for 4Q16 and companies reporting.
3Source as of, 12/31/2017 based on UBS reporting. Includes defined contribution and nonqualified deferred compensation plans served through our Institutional Consulting and Retirement Plan Consulting Services programs.
Source: UBS quarterly review 4Q17
4UBS AG Investor Relations 4Q16 results.
5Source: Best Global Wealth Manager – 2016, Euromoney. Based on latest year-on-year percentage change in the number of private banking clients; latest year-on-year percentage change in private banking gross revenue; latest year-on-year percentage change in private banking net income. The award was also based on nominations from frontline banking staff individual employees with a perspective on the relative merits and demerits of their banks and their competitors. Source: UBS. "Important Notices" Web. Date of access: 10/26/2016. https://www.ubs.com/us/en/designation-disclosures.html.
6Source: UBS Corporate Profile for 4Q16 and companies reporting. UBS reported a BIS Basel III common equity Tier 1 (CET1) ratio (fully applied) of 14% as of 3/31/16 Source:https://www.ubs.com/us/en/wealth/about_us.html. The Basel III framework is a global regulatory standard on bank capital adequacy, stress testing and market liquidity risk; it is designed to improve the banking sector's ability to absorb shocks arising from financial and economic stress.
The UBS Institutional Consulting and Retirement Plan Consulting Services programs are investment advisory services, and clients should carefully read the UBS Institutional Consulting and Retirement Plan Consulting Services ADV Disclosure Documents for important information regarding our consulting services, including fees and scope of services, before entering into a UBS Institutional Consulting or Retirement Plan Consulting Services Agreement.
UBS Financial Services Inc., its affiliates, and its employees are not in the business of providing tax or legal advice. Clients should seek advice based on their particular circumstances from an independent tax advisor.
Important information about Advisory & Brokerage Services: As a firm providing wealth management services to clients, UBS is registered with the U.S. Securities and Exchange Commission (SEC) as an investment adviser and a broker-dealer, offering both investment advisory and brokerage services. Advisory services and brokerage services are separate and distinct, differ in material ways and are governed by different laws and separate contracts. It is important that you carefully read the agreements and disclosures UBS provides to you about the products or services offered. For more information, please visit our website at www.ubs.com/workingwithus.
Neither UBS Financial Services Inc. nor employees (including its Financial Advisors) provide tax or legal advice. You should consult with your legal counsel and/or your accountant or tax professional regarding the legal or tax implications of a particular suggestion, strategy or investment, including any estate planning strategies, before you invest or implement.
©UBS 2017. The key symbol and UBS are among the registered and unregistered trademarks of UBS. All rights reserved. UBS Financial Services Inc. is a subsidiary of UBS AG.
Date of first use: 11/07/16 IS1500324