Trading · authorized participant (AP)
UBS Securities LLC
UBS Securities LLC was an authorized participant (AP) for 2,459 US ETFs in Form N-CEN periods ending Aug 31, 2024 to Jun 30, 2026. It created $70.7bn and redeemed $67.2bn of their shares. It was active in 628 of them.
ubs.com, the firm’s website ↗| # | Ticker | Fund | Category | Created | Redeemed | Created and redeemed ↓ | Share of the fund’s AP dollars | Active APs in the fund | Period ending |
|---|---|---|---|---|---|---|---|---|---|
| 1 | MOAT | VanEck Morningstar Wide Moat ETF | U.S. stocks | $5.3bn | $5.3bn | $10.6bn | 51.3% | 13 | Sep 30, 2025 |
| 2 | SPY | SPDR S&P 500 ETF Trust | U.S. stocks | $4.4bn | $5.9bn | $10.3bn | 0.5% | 26 | Dec 31, 2025 |
| 3 | IVV | iShares Core S&P 500 ETF | U.S. stocks | $2.5bn | $2.0bn | $4.6bn | 0.6% | 25 | Mar 31, 2026 |
| 4 | IEMG | iShares Core MSCI Emerging Markets ETF | International stocks | $4.1bn | $0 | $4.1bn | 40.5% | 8 | Aug 31, 2025 |
| 5 | EMXC | iShares MSCI Emerging Markets ex China ETF | International stocks | $499m | $3.6bn | $4.1bn | 65.7% | 6 | Aug 31, 2025 |
| 6 | CGDV | Capital Group Dividend Value ETF | U.S. stocks | $1.5bn | $1.1bn | $2.7bn | 8.5% | 11 | May 31, 2026 |
| 7 | FDN | First Trust Dow Jones Internet Index Fund | Themes | $1.2bn | $1.4bn | $2.5bn | 14.1% | 12 | Dec 31, 2025 |
| 8 | VWO | Vanguard FTSE Emerging Markets ETF | International stocks | $2.1bn | $0 | $2.1bn | 33.0% | 3 | Oct 31, 2025 |
| 9 | SCHM | Schwab U.S. Mid-Cap ETF | U.S. stocks | $1.0bn | $1.0bn | $2.1bn | 58.1% | 12 | Aug 31, 2025 |
| 10 | FXI | iShares China Large-Cap ETF | International stocks | $982m | $1.1bn | $2.0bn | 16.9% | 10 | Jul 31, 2025 |
| 11 | VT | Vanguard Total World Stock Index ETF | International stocks | $1.2bn | $606m | $1.8bn | 19.3% | 7 | Oct 31, 2025 |
| 12 | BAI | iShares A.I. Innovation and Tech Active ETF | Themes | $1.7bn | $42.4m | $1.8bn | 17.1% | 12 | Apr 30, 2026 |
| 13 | GDX | VanEck Gold Miners ETF | Themes | $290m | $1.5bn | $1.8bn | 19.1% | 6 | Dec 31, 2025 |
| 14 | BBEU | JPMorgan BetaBuilders Europe ETF | International stocks | $903m | $861m | $1.8bn | 22.4% | 6 | Oct 31, 2025 |
| 15 | MCHI | iShares MSCI China ETF | International stocks | $1.2bn | $515m | $1.8bn | 39.3% | 7 | Aug 31, 2025 |
| 16 | CGDG | Capital Group Dividend Growers ETF | International stocks | $866m | $742m | $1.6bn | 37.8% | 10 | May 31, 2026 |
| 17 | EFG | iShares MSCI EAFE Growth ETF | International stocks | $280m | $1.2bn | $1.5bn | 23.0% | 7 | Jul 31, 2025 |
| 18 | EEM | iShares MSCI Emerging Markets ETF | International stocks | $60.8m | $1.4bn | $1.4bn | 61.7% | 5 | Aug 31, 2025 |
| 19 | VPL | Vanguard FTSE Pacific ETF | International stocks | $453m | $871m | $1.3bn | 61.9% | 6 | Oct 31, 2025 |
| 20 | GDXJ | VanEck Junior Gold Miners ETF | Themes | $81.7m | $1.2bn | $1.3bn | 55.6% | 6 | Dec 31, 2025 |
| 21 | IWM | iShares Russell 2000 ETF | U.S. stocks | $1.1bn | $178m | $1.2bn | 0.5% | 15 | Mar 31, 2026 |
| 22 | EFAV | iShares MSCI EAFE Min Vol Factor ETF | International stocks | $0 | $1.2bn | $1.2bn | 40.8% | 5 | Jul 31, 2025 |
| 23 | EFV | iShares MSCI EAFE Value ETF | International stocks | $602m | $597m | $1.2bn | 10.7% | 9 | Jul 31, 2025 |
| 24 | AIA | iShares Asia 50 ETF | International stocks | $1.2bn | $32.5m | $1.2bn | 49.2% | 8 | Mar 31, 2026 |
| 25 | BBJP | JPMorgan BetaBuilders Japan ETF | International stocks | $502m | $661m | $1.2bn | 33.4% | 5 | Oct 31, 2025 |
| 26 | IQLT | iShares MSCI Intl Quality Factor ETF | International stocks | $1.1bn | $82.7m | $1.1bn | 32.9% | 9 | Jul 31, 2025 |
| 27 | CGGR | Capital Group Growth ETF | U.S. stocks | $689m | $405m | $1.1bn | 7.7% | 13 | May 31, 2026 |
| 28 | SCHF | Schwab International Equity ETF | International stocks | $617m | $438m | $1.1bn | 21.9% | 5 | Aug 31, 2025 |
| 29 | INDA | iShares MSCI India ETF | International stocks | $92.4m | $955m | $1.0bn | 23.8% | 7 | Aug 31, 2025 |
| 30 | KOMP | State Street SPDR S&P Kensho New Economies Composite ETF | U.S. stocks | $485m | $500m | $985m | 36.7% | 9 | Jun 30, 2026 |
| 31 | XLE | State Street Energy Select Sector SPDR ETF | Sector stocks | $673m | $266m | $939m | 2.1% | 21 | Sep 30, 2025 |
| 32 | ACWV | iShares MSCI Global Min Vol Factor ETF | International stocks | $0 | $915m | $915m | 68.4% | 3 | Aug 31, 2025 |
| 33 | XLF | State Street Financial Select Sector SPDR ETF | Sector stocks | $431m | $421m | $852m | 0.6% | 21 | Sep 30, 2025 |
| 34 | XLI | State Street Industrial Select Sector SPDR ETF | Sector stocks | $445m | $405m | $849m | 1.6% | 23 | Sep 30, 2025 |
| 35 | SOXX | iShares Semiconductor ETF | Themes | $433m | $412m | $845m | 0.9% | 18 | Mar 31, 2026 |
| 36 | IHDG | WisdomTree International Hedged Quality Dividend Growth Fund | International stocks | $0 | $844m | $844m | 45.7% | 6 | Mar 31, 2026 |
| 37 | PAVE | Global X U.S. Infrastructure Development ETF | Themes | $420m | $423m | $843m | 20.0% | 10 | Nov 30, 2025 |
| 38 | DXJ | WisdomTree Japan Hedged Equity Fund | International stocks | $253m | $570m | $823m | 32.8% | 7 | Mar 31, 2026 |
| 39 | DON | WisdomTree U.S. MidCap Dividend Fund | U.S. stocks | $406m | $412m | $818m | 81.4% | 8 | Mar 31, 2026 |
| 40 | DIHP | Dimensional International High Profitability ETF | International stocks | $524m | $290m | $815m | 37.2% | 9 | Oct 31, 2025 |
| 41 | XOP | State Street SPDR S&P Oil & Gas Exploration & Production ETF | Sector stocks | $334m | $436m | $771m | 3.4% | 16 | Jun 30, 2026 |
| 42 | USD | ProShares Ultra Semiconductors | Leverage | $364m | $398m | $762m | 19.6% | 10 | May 31, 2026 |
| 43 | RSP | Invesco S&P 500 Equal Weight ETF | U.S. stocks | $583m | $173m | $756m | 1.0% | 19 | Apr 30, 2026 |
| 44 | XBI | State Street SPDR S&P Biotech ETF | Themes | $409m | $313m | $722m | 1.2% | 19 | Jun 30, 2026 |
| 45 | BLOK | Amplify Blockchain Technology ETF | Themes | $130m | $574m | $704m | 44.5% | 7 | Sep 30, 2024 |
| 46 | BBEM | JPMorgan BetaBuilders Emerging Markets Equity ETF | International stocks | $304m | $391m | $696m | 97.0% | 2 | Oct 31, 2025 |
| 47 | DFIV | Dimensional International Value ETF | International stocks | $447m | $246m | $693m | 14.9% | 7 | Oct 31, 2025 |
| 48 | JIRE | JPMorgan International Research Enhanced Equity ETF | International stocks | $639m | $51.9m | $691m | 16.1% | 8 | Oct 31, 2025 |
| 49 | FNDC | Schwab Fundamental International Small Equity ETF | International stocks | $8.0m | $672m | $680m | 63.4% | 8 | Feb 28, 2026 |
| 50 | SCZ | iShares MSCI EAFE Small-Cap ETF | International stocks | $0 | $651m | $651m | 26.3% | 6 | Jul 31, 2025 |
| 51 | VGK | Vanguard FTSE Europe ETF | International stocks | $40.9m | $610m | $651m | 8.2% | 8 | Oct 31, 2025 |
| 52 | EEMA | iShares MSCI Emerging Markets Asia ETF | International stocks | $544m | $96.7m | $640m | 58.9% | 4 | Aug 31, 2025 |
| 53 | XLV | State Street Health Care Select Sector SPDR ETF | Sector stocks | $334m | $300m | $634m | 1.1% | 23 | Sep 30, 2025 |
| 54 | FLQL | Franklin U.S. Large Cap Multifactor Index ETF | U.S. stocks | $316m | $314m | $631m | 44.2% | 9 | Mar 31, 2026 |
| 55 | DFIS | Dimensional International Small Cap ETF | International stocks | $347m | $274m | $622m | 20.3% | 8 | Oct 31, 2025 |
| 56 | SPYM | State Street SPDR Portfolio S&P 500 ETF | U.S. stocks | $305m | $300m | $606m | 0.5% | 18 | Jun 30, 2026 |
| 57 | REET | iShares Global REIT ETF | Sector stocks | $24.0m | $570m | $594m | 35.4% | 6 | Apr 30, 2026 |
| 58 | SMH | VanEck Semiconductor ETF | Themes | $325m | $252m | $577m | 0.8% | 17 | Sep 30, 2025 |
| 59 | EWG | iShares MSCI Germany ETF | International stocks | $212m | $365m | $577m | 22.7% | 9 | Aug 31, 2025 |
| 60 | IWF | iShares Russell 1000 Growth ETF | U.S. stocks | $226m | $346m | $572m | 1.5% | 13 | Mar 31, 2026 |
| 61 | FNDF | Schwab Fundamental International Equity ETF | International stocks | $325m | $244m | $568m | 14.6% | 8 | Feb 28, 2026 |
| 62 | SPEM | State Street SPDR Portfolio Emerging Markets ETF | International stocks | $565m | $0 | $565m | 21.0% | 5 | Sep 30, 2025 |
| 63 | SHLD | Global X Defense Tech ETF | Themes | $563m | $0 | $563m | 12.0% | 8 | Nov 30, 2025 |
| 64 | SPMD | State Street SPDR Portfolio S&P 400 Mid Cap ETF | U.S. stocks | $276m | $281m | $557m | 7.6% | 14 | Jun 30, 2026 |
| 65 | IGF | iShares Global Infrastructure ETF | Themes | $552m | $0 | $552m | 22.3% | 7 | Mar 31, 2026 |
| 66 | DBEF | Xtrackers MSCI EAFE Hedged Equity ETF | International stocks | $0 | $503m | $503m | 42.7% | 5 | May 31, 2026 |
| 67 | PBUS | Invesco MSCI USA ETF | U.S. stocks | $502m | $0 | $502m | 9.0% | 9 | Aug 31, 2025 |
| 68 | EZU | iShares MSCI Eurozone ETF | International stocks | $0 | $487m | $487m | 10.3% | 10 | Aug 31, 2025 |
| 69 | IGV | iShares Expanded Tech-Software Sector ETF | Themes | $418m | $59.9m | $478m | 1.0% | 15 | Mar 31, 2026 |
| 70 | EWU | iShares MSCI United Kingdom ETF | International stocks | $81.3m | $393m | $474m | 35.1% | 10 | Aug 31, 2025 |
| 71 | INTF | iShares International Equity Factor ETF | International stocks | $472m | $0 | $472m | 52.5% | 8 | Jul 31, 2025 |
| 72 | ACWI | iShares MSCI ACWI ETF | International stocks | $133m | $325m | $458m | 17.8% | 7 | Jul 31, 2025 |
| 73 | CGGO | Capital Group Global Growth Equity ETF | International stocks | $304m | $140m | $445m | 6.7% | 9 | May 31, 2026 |
| 74 | CGUS | Capital Group Core Equity ETF | U.S. stocks | $334m | $109m | $443m | 5.7% | 12 | May 31, 2026 |
| 75 | NLR | VanEck Uranium and Nuclear ETF | Themes | $388m | $46.8m | $435m | 16.8% | 7 | Dec 31, 2025 |
| 76 | CIBR | First Trust NASDAQ Cybersecurity ETF | Themes | $225m | $209m | $434m | 16.0% | 7 | Sep 30, 2024 |
| 77 | BBIN | JPMorgan BetaBuilders International Equity ETF | International stocks | $113m | $320m | $432m | 34.6% | 4 | Oct 31, 2025 |
| 78 | VXUS | Vanguard Total International Stock ETF | International stocks | $431m | $0 | $431m | 3.2% | 8 | Oct 31, 2025 |
| 79 | WTV | WisdomTree U.S. Value Fund | U.S. stocks | $214m | $211m | $425m | 12.6% | 10 | Mar 31, 2026 |
| 80 | EPP | iShares MSCI Pacific ex Japan ETF | International stocks | $27.0m | $384m | $411m | 59.5% | 5 | Aug 31, 2025 |
| 81 | JIVE | JPMorgan International Value ETF | International stocks | $401m | $0 | $401m | 60.4% | 4 | Oct 31, 2025 |
| 82 | BBCA | JPMorgan BetaBuilders Canada ETF | International stocks | $229m | $171m | $400m | 27.1% | 9 | Oct 31, 2025 |
| 83 | IXJ | iShares Global Healthcare ETF | Sector stocks | $38.4m | $359m | $398m | 23.8% | 7 | Mar 31, 2026 |
| 84 | UYG | ProShares Ultra Financials | Leverage | $207m | $190m | $397m | 15.5% | 9 | May 31, 2026 |
| 85 | JGLO | JPMorgan Global Select Equity ETF | International stocks | $326m | $53.8m | $380m | 9.3% | 7 | Oct 31, 2025 |
| 86 | QDF | Northern Trust Quality Dividend ETF | U.S. stocks | $186m | $185m | $372m | 33.7% | 6 | Oct 31, 2025 |
| 87 | FEZ | State Street SPDR EURO STOXX 50 ETF | International stocks | $85.2m | $283m | $368m | 15.5% | 7 | Sep 30, 2025 |
| 88 | DISV | Dimensional International Small Cap Value ETF | International stocks | $218m | $147m | $366m | 17.2% | 8 | Oct 31, 2025 |
| 89 | QGRW | WisdomTree U.S. Quality Growth Fund | U.S. stocks | $179m | $180m | $359m | 18.9% | 10 | Mar 31, 2026 |
| 90 | CGXU | Capital Group International Focus Equity ETF | International stocks | $213m | $133m | $346m | 15.0% | 9 | May 31, 2026 |
| 91 | EPI | WisdomTree India Earnings Fund | International stocks | $71.7m | $274m | $346m | 30.7% | 5 | Mar 31, 2026 |
| 92 | FENI | Fidelity Enhanced International ETF | International stocks | $345m | $0 | $345m | 4.4% | 8 | Jun 30, 2026 |
| 93 | XLK | State Street Technology Select Sector SPDR ETF | Sector stocks | $183m | $161m | $344m | 0.8% | 18 | Sep 30, 2025 |
| 94 | DFAE | Dimensional Emerging Core Equity Market ETF | International stocks | $333m | $0 | $333m | 31.8% | 7 | Oct 31, 2025 |
| 95 | ACWX | iShares MSCI ACWI ex U.S. ETF | International stocks | $333m | $0 | $333m | 24.7% | 6 | Jul 31, 2025 |
| 96 | DIVI | Franklin International Core Dividend Tilt Index ETF | International stocks | $169m | $161m | $331m | 33.0% | 4 | Mar 31, 2026 |
| 97 | JETS | U.S. Global Jets ETF | Themes | $88.5m | $239m | $328m | 16.8% | 6 | Dec 31, 2025 |
| 98 | IXN | iShares Global Tech ETF | Sector stocks | $248m | $79.2m | $327m | 20.7% | 8 | Mar 31, 2026 |
| 99 | XT | iShares Future Exponential Technologies ETF | Themes | $0 | $315m | $315m | 53.9% | 5 | Jul 31, 2025 |
| 100 | CGGE | Capital Group Global Equity ETF | International stocks | $257m | $58.0m | $315m | 13.1% | 9 | May 31, 2026 |
UBS Securities LLC as an ETF authorized participant: the 100 funds it created and redeemed most in, of 628, ranked by what it created and redeemed, in Form N-CEN periods ending Aug 31, 2024 to Jun 30, 2026. Source: ETFIQ from Form N-CEN.
ETFs where UBS Securities was the only active AP
In 4 ETFs, UBS Securities LLC was the one AP that created or redeemed shares in the period.
| # | Ticker | Fund | Created | Redeemed | APs listed | Period ending |
|---|---|---|---|---|---|---|
| 1 | IND | Xtrackers Nifty 500 India ETF | $5.0m | $0 | 24 | May 31, 2026 |
| 2 | JDIV | JPMorgan Dividend Leaders ETF | $1.2m | $0 | 18 | Oct 31, 2025 |
| 3 | EMDV | ProShares MSCI Emerging Markets Dividend Growers ETF | $0 | $912k | 39 | May 31, 2026 |
| 4 | JCHI | JPMorgan Active China ETF | $657k | $0 | 16 | Oct 31, 2025 |
UBS Securities by category
The ETFs UBS Securities LLC serves, by the category each is placed in, with what it created and redeemed in each.
| # | Category | Share of its dollars | ETFs served | Active in | Created | Redeemed | Only active AP in |
|---|---|---|---|---|---|---|---|
| 1 | U.S. stocks | 30.6% | 597 | 90 | $22.0bn | $20.2bn | 0 |
| 2 | International stocks | 47.4% | 466 | 315 | $33.8bn | $31.6bn | 4 |
| 3 | Sector stocks | 6.9% | 174 | 54 | $4.4bn | $5.1bn | 0 |
| 4 | Bonds | 0.3% | 579 | 11 | $422m | $0 | 0 |
| 5 | Commodities | 0.0% | 13 | 0 | $0 | $0 | 0 |
| 6 | Allocation | 0.1% | 21 | 1 | $124m | $5.6m | 0 |
| 7 | Buffer | 0.0% | 132 | 0 | $0 | $0 | 0 |
| 8 | Income | 0.0% | 82 | 1 | $0 | $4.0m | 0 |
| 9 | Themes | 13.6% | 236 | 118 | $9.1bn | $9.6bn | 0 |
| 10 | Leverage | 1.0% | 127 | 34 | $680m | $672m | 0 |
| 11 | Crypto | 0.0% | 2 | 0 | $0 | $0 | 0 |
| 12 | Alternatives | 0.1% | 30 | 4 | $76.5m | $81.3m | 0 |
Questions people ask
Is UBS Securities an ETF authorized participant (AP)?
Yes. UBS Securities LLC is listed as an AP for 2,459 US ETFs in Form N-CEN periods ending Aug 31, 2024 to Jun 30, 2026, and created or redeemed shares in 628 of them.
Which ETFs does UBS Securities create and redeem the most?
By dollars created and redeemed: MOAT, $10.6bn; SPY, $10.3bn; IVV, $4.6bn; IEMG, $4.1bn; EMXC, $4.1bn.
How much of an ETF’s AP activity does UBS Securities handle?
Across the 628 funds it was active in, its share of each fund’s AP dollars ran from 0.0% to 100.0%. It was the only active AP in 4 ETFs.
Where do these figures come from?
From item E.2 of each ETF’s latest Form N-CEN, which names its APs and the dollars each created and redeemed. ETFIQ groups the rows by UBS Securities’s CRD, SEC file number and LEI, never by the name as typed.
Method
UBS Securities LLC is identified by CRD 7654, SEC file number 8-22651, LEI T6FIZBDPKLYJKFCRVK44. It is on the SEC’s list of active broker-dealers dated Oct 1, 2026 as UBS SECURITIES LLC. Funds filed its name 7 ways; every spelling is in dealers.json. Every row is one authorized participant (AP) listed in item E.2 of an ETF’s latest Form N-CEN, with the dollars of the fund’s shares it purchased from the fund (created) and redeemed in the fund’s reporting period, as filed. A fund’s period is its own fiscal year, or less where the filing says so, so a firm’s total adds periods that end on different days. Rows are grouped into firms by the identifiers each row carries: the CRD number first, the SEC file number and LEI where the CRD is missing or typed wrong, never by name. 71 of 75,056 rows carry a CRD their file number and LEI place on another firm, and are counted there.
The rest of the method
A firm’s name is its registration on the SEC’s list of active broker-dealers where it is on it. Spot crypto and commodity trusts and ETNs file no N-CEN and are not here.
Where to next
Most active APs for U.S. stock ETFs→Most active APs for international stock ETFs→Most active APs for sector stock ETFs→Every ETF authorized participant (AP)→The most active APs→Most active APs for U.S. stock ETFs→Most active APs for international stock ETFs→Most active APs for sector stock ETFs→Most active APs for bond ETFs→ETF lead market makers (LMMs)→How the AP list is built→The open data file→Fund flows→
Where these figures came from
SEC Form N-CEN data sets, the source of every AP row ↗Form N-CEN, item E.2: each authorized participant and its dollars ↗SEC list of active broker-dealers, the source of each firm’s registered name ↗
ETFIQ links to the documents behind every figure; a link is not an endorsement. A list of firms is not a rating or a recommendation.
Questions people ask
Is UBS Securities an ETF authorized participant (AP)?
Yes. UBS Securities LLC is listed as an AP for 2,459 US ETFs in Form N-CEN periods ending Aug 31, 2024 to Jun 30, 2026, and created or redeemed shares in 628 of them.
Which ETFs does UBS Securities create and redeem the most?
By dollars created and redeemed: MOAT, $10.6bn; SPY, $10.3bn; IVV, $4.6bn; IEMG, $4.1bn; EMXC, $4.1bn.
How much of an ETF’s AP activity does UBS Securities handle?
Across the 628 funds it was active in, its share of each fund’s AP dollars ran from 0.0% to 100.0%. It was the only active AP in 4 ETFs.
Where do these figures come from?
From item E.2 of each ETF’s latest Form N-CEN, which names its APs and the dollars each created and redeemed. ETFIQ groups the rows by UBS Securities’s CRD, SEC file number and LEI, never by the name as typed.
Cite this pageCitation, APA and Markdown
ETFIQ, UBS Securities LLC as an ETF authorized participant, data as of Sep 23, 2026. https://etfiq.com/trading/authorized-participants/ubs-securities/
ETFIQ. (Sep 23, 2026). UBS Securities LLC as an ETF authorized participant. Retrieved from https://etfiq.com/trading/authorized-participants/ubs-securities/
[UBS Securities LLC as an ETF authorized participant (ETFIQ, Sep 23, 2026)](https://etfiq.com/trading/authorized-participants/ubs-securities/)
Free to use with attribution for figures ETFIQ computes; issuer data stays under its owner's terms. The underlying files are at Open data.