{"url":"https://etfiq.com/trading/authorized-participants/ubs-securities/","section":"trading","title":"UBS Securities: ETF Authorized Participant (AP) | ETFIQ","description":"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. 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participant","alternateName":["AP","authorised participant"],"description":"A broker-dealer that has an agreement with an ETF to create new shares by delivering a basket of securities or cash to the fund, and to redeem shares by handing them back.","inDefinedTermSet":"https://etfiq.com/methodology/authorized-participants#glossary"},{"@type":"FAQPage","mainEntity":[{"@type":"Question","name":"Is UBS Securities an ETF authorized participant (AP)?","acceptedAnswer":{"@type":"Answer","text":"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."}},{"@type":"Question","name":"Which ETFs does UBS Securities create and redeem the most?","acceptedAnswer":{"@type":"Answer","text":"By dollars created and redeemed: MOAT, $10.6bn; SPY, $10.3bn; IVV, $4.6bn; IEMG, $4.1bn; EMXC, $4.1bn."}},{"@type":"Question","name":"How much of an ETF\u2019s AP activity does UBS Securities handle?","acceptedAnswer":{"@type":"Answer","text":"Across the 628 funds it was active in, its share of each fund\u2019s AP dollars ran from 0.0% to 100.0%. It was the only active AP in 4 ETFs."}},{"@type":"Question","name":"Where do these figures come from?","acceptedAnswer":{"@type":"Answer","text":"From item E.2 of each ETF\u2019s latest Form N-CEN, which names its APs and the dollars each created and redeemed. ETFIQ groups the rows by UBS Securities\u2019s CRD, SEC file number and LEI, never by the name as typed."}}]},{"@type":"BreadcrumbList","itemListElement":[{"@type":"ListItem","position":1,"name":"ETFIQ","item":"https://etfiq.com/"},{"@type":"ListItem","position":2,"name":"Authorized participants","item":"https://etfiq.com/trading/authorized-participants/"},{"@type":"ListItem","position":3,"name":"UBS Securities","item":"https://etfiq.com/trading/authorized-participants/ubs-securities/"}]},{"@type":"WebPage","name":"UBS Securities: ETF Authorized Participant (AP)","description":"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. Facts only.","url":"https://etfiq.com/trading/authorized-participants/ubs-securities/","dateModified":"2026-09-23","isPartOf":{"@type":"WebSite","name":"ETFIQ","url":"https://etfiq.com"},"speakable":{"@type":"SpeakableSpecification","cssSelector":[".lede",".faq"]},"publisher":{"@id":"https://etfiq.com/#org"}}],"characters":15710,"truncated":false,"content":"ETFIQ / Authorized participants / UBS Securities \n \n As of Sep 23, 2026 . From each ETF\u2019s latest Form N-CEN.\n UBS Securities LLC\n 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.\n ubs.com \n 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. # Ticker Fund Category Created Redeemed Created and redeemed Share of the fund\u2019s AP dollars Active APs in the fund Period ending \n 1 MOAT VanEck Morningstar Wide Moat ETF U.S. stocks $5.3bn $5.3bn $10.6bn 51.3% 13 Sep 30, 2025 \n 2 SPY SPDR S&P 500 ETF Trust U.S. stocks $4.4bn $5.9bn $10.3bn 0.5% 26 Dec 31, 2025 \n 3 IVV iShares Core S&P 500 ETF U.S. stocks $2.5bn $2.0bn $4.6bn 0.6% 25 Mar 31, 2026 \n 4 IEMG iShares Core MSCI Emerging Markets ETF International stocks $4.1bn $0 $4.1bn 40.5% 8 Aug 31, 2025 \n 5 EMXC iShares MSCI Emerging Markets ex China ETF International stocks $499m $3.6bn $4.1bn 65.7% 6 Aug 31, 2025 \n 6 CGDV Capital Group Dividend Value ETF U.S. stocks $1.5bn $1.1bn $2.7bn 8.5% 11 May 31, 2026 \n 7 FDN First Trust Dow Jones Internet Index Fund Themes $1.2bn $1.4bn $2.5bn 14.1% 12 Dec 31, 2025 \n 8 VWO Vanguard FTSE Emerging Markets ETF International stocks $2.1bn $0 $2.1bn 33.0% 3 Oct 31, 2025 \n 9 SCHM Schwab U.S. Mid-Cap ETF U.S. stocks $1.0bn $1.0bn $2.1bn 58.1% 12 Aug 31, 2025 \n 10 FXI iShares China Large-Cap ETF International stocks $982m $1.1bn $2.0bn 16.9% 10 Jul 31, 2025 \n 11 VT Vanguard Total World Stock Index ETF International stocks $1.2bn $606m $1.8bn 19.3% 7 Oct 31, 2025 \n 12 BAI iShares A.I. Innovation and Tech Active ETF Themes $1.7bn $42.4m $1.8bn 17.1% 12 Apr 30, 2026 \n 13 GDX VanEck Gold Miners ETF Themes $290m $1.5bn $1.8bn 19.1% 6 Dec 31, 2025 \n 14 BBEU JPMorgan BetaBuilders Europe ETF International stocks $903m $861m $1.8bn 22.4% 6 Oct 31, 2025 \n 15 MCHI iShares MSCI China ETF International stocks $1.2bn $515m $1.8bn 39.3% 7 Aug 31, 2025 \n 16 CGDG Capital Group Dividend Growers ETF International stocks $866m $742m $1.6bn 37.8% 10 May 31, 2026 \n 17 EFG iShares MSCI EAFE Growth ETF International stocks $280m $1.2bn $1.5bn 23.0% 7 Jul 31, 2025 \n 18 EEM iShares MSCI Emerging Markets ETF International stocks $60.8m $1.4bn $1.4bn 61.7% 5 Aug 31, 2025 \n 19 VPL Vanguard FTSE Pacific ETF International stocks $453m $871m $1.3bn 61.9% 6 Oct 31, 2025 \n 20 GDXJ VanEck Junior Gold Miners ETF Themes $81.7m $1.2bn $1.3bn 55.6% 6 Dec 31, 2025 \n 21 IWM iShares Russell 2000 ETF U.S. stocks $1.1bn $178m $1.2bn 0.5% 15 Mar 31, 2026 \n 22 EFAV iShares MSCI EAFE Min Vol Factor ETF International stocks $0 $1.2bn $1.2bn 40.8% 5 Jul 31, 2025 \n 23 EFV iShares MSCI EAFE Value ETF International stocks $602m $597m $1.2bn 10.7% 9 Jul 31, 2025 \n 24 AIA iShares Asia 50 ETF International stocks $1.2bn $32.5m $1.2bn 49.2% 8 Mar 31, 2026 \n 25 BBJP JPMorgan BetaBuilders Japan ETF International stocks $502m $661m $1.2bn 33.4% 5 Oct 31, 2025 \n 26 IQLT iShares MSCI Intl Quality Factor ETF International stocks $1.1bn $82.7m $1.1bn 32.9% 9 Jul 31, 2025 \n 27 CGGR Capital Group Growth ETF U.S. stocks $689m $405m $1.1bn 7.7% 13 May 31, 2026 \n 28 SCHF Schwab International Equity ETF International stocks $617m $438m $1.1bn 21.9% 5 Aug 31, 2025 \n 29 INDA iShares MSCI India ETF International stocks $92.4m $955m $1.0bn 23.8% 7 Aug 31, 2025 \n 30 KOMP State Street SPDR S&P Kensho New Economies Composite ETF U.S. stocks $485m $500m $985m 36.7% 9 Jun 30, 2026 \n 31 XLE State Street Energy Select Sector SPDR ETF Sector stocks $673m $266m $939m 2.1% 21 Sep 30, 2025 \n 32 ACWV iShares MSCI Global Min Vol Factor ETF International stocks $0 $915m $915m 68.4% 3 Aug 31, 2025 \n 33 XLF State Street Financial Select Sector SPDR ETF Sector stocks $431m $421m $852m 0.6% 21 Sep 30, 2025 \n 34 XLI State Street Industrial Select Sector SPDR ETF Sector stocks $445m $405m $849m 1.6% 23 Sep 30, 2025 \n 35 SOXX iShares Semiconductor ETF Themes $433m $412m $845m 0.9% 18 Mar 31, 2026 \n 36 IHDG WisdomTree International Hedged Quality Dividend Growth Fund International stocks $0 $844m $844m 45.7% 6 Mar 31, 2026 \n 37 PAVE Global X U.S. Infrastructure Development ETF Themes $420m $423m $843m 20.0% 10 Nov 30, 2025 \n 38 DXJ WisdomTree Japan Hedged Equity Fund International stocks $253m $570m $823m 32.8% 7 Mar 31, 2026 \n 39 DON WisdomTree U.S. MidCap Dividend Fund U.S. stocks $406m $412m $818m 81.4% 8 Mar 31, 2026 \n 40 DIHP Dimensional International High Profitability ETF International stocks $524m $290m $815m 37.2% 9 Oct 31, 2025 \n 41 XOP State Street SPDR S&P Oil & Gas Exploration & Production ETF Sector stocks $334m $436m $771m 3.4% 16 Jun 30, 2026 \n 42 USD ProShares Ultra Semiconductors Leverage $364m $398m $762m 19.6% 10 May 31, 2026 \n 43 RSP Invesco S&P 500 Equal Weight ETF U.S. stocks $583m $173m $756m 1.0% 19 Apr 30, 2026 \n 44 XBI State Street SPDR S&P Biotech ETF Themes $409m $313m $722m 1.2% 19 Jun 30, 2026 \n 45 BLOK Amplify Blockchain Technology ETF Themes $130m $574m $704m 44.5% 7 Sep 30, 2024 \n 46 BBEM JPMorgan BetaBuilders Emerging Markets Equity ETF International stocks $304m $391m $696m 97.0% 2 Oct 31, 2025 \n 47 DFIV Dimensional International Value ETF International stocks $447m $246m $693m 14.9% 7 Oct 31, 2025 \n 48 JIRE JPMorgan International Research Enhanced Equity ETF International stocks $639m $51.9m $691m 16.1% 8 Oct 31, 2025 \n 49 FNDC Schwab Fundamental International Small Equity ETF International stocks $8.0m $672m $680m 63.4% 8 Feb 28, 2026 \n 50 SCZ iShares MSCI EAFE Small-Cap ETF International stocks $0 $651m $651m 26.3% 6 Jul 31, 2025 \n 51 VGK Vanguard FTSE Europe ETF International stocks $40.9m $610m $651m 8.2% 8 Oct 31, 2025 \n 52 EEMA iShares MSCI Emerging Markets Asia ETF International stocks $544m $96.7m $640m 58.9% 4 Aug 31, 2025 \n 53 XLV State Street Health Care Select Sector SPDR ETF Sector stocks $334m $300m $634m 1.1% 23 Sep 30, 2025 \n 54 FLQL Franklin U.S. Large Cap Multifactor Index ETF U.S. stocks $316m $314m $631m 44.2% 9 Mar 31, 2026 \n 55 DFIS Dimensional International Small Cap ETF International stocks $347m $274m $622m 20.3% 8 Oct 31, 2025 \n 56 SPYM State Street SPDR Portfolio S&P 500 ETF U.S. stocks $305m $300m $606m 0.5% 18 Jun 30, 2026 \n 57 REET iShares Global REIT ETF Sector stocks $24.0m $570m $594m 35.4% 6 Apr 30, 2026 \n 58 SMH VanEck Semiconductor ETF Themes $325m $252m $577m 0.8% 17 Sep 30, 2025 \n 59 EWG iShares MSCI Germany ETF International stocks $212m $365m $577m 22.7% 9 Aug 31, 2025 \n 60 IWF iShares Russell 1000 Growth ETF U.S. stocks $226m $346m $572m 1.5% 13 Mar 31, 2026 \n 61 FNDF Schwab Fundamental International Equity ETF International stocks $325m $244m $568m 14.6% 8 Feb 28, 2026 \n 62 SPEM State Street SPDR Portfolio Emerging Markets ETF International stocks $565m $0 $565m 21.0% 5 Sep 30, 2025 \n 63 SHLD Global X Defense Tech ETF Themes $563m $0 $563m 12.0% 8 Nov 30, 2025 \n 64 SPMD State Street SPDR Portfolio S&P 400 Mid Cap ETF U.S. stocks $276m $281m $557m 7.6% 14 Jun 30, 2026 \n 65 IGF iShares Global Infrastructure ETF Themes $552m $0 $552m 22.3% 7 Mar 31, 2026 \n 66 DBEF Xtrackers MSCI EAFE Hedged Equity ETF International stocks $0 $503m $503m 42.7% 5 May 31, 2026 \n 67 PBUS Invesco MSCI USA ETF U.S. stocks $502m $0 $502m 9.0% 9 Aug 31, 2025 \n 68 EZU iShares MSCI Eurozone ETF International stocks $0 $487m $487m 10.3% 10 Aug 31, 2025 \n 69 IGV iShares Expanded Tech-Software Sector ETF Themes $418m $59.9m $478m 1.0% 15 Mar 31, 2026 \n 70 EWU iShares MSCI United Kingdom ETF International stocks $81.3m $393m $474m 35.1% 10 Aug 31, 2025 \n 71 INTF iShares International Equity Factor ETF International stocks $472m $0 $472m 52.5% 8 Jul 31, 2025 \n 72 ACWI iShares MSCI ACWI ETF International stocks $133m $325m $458m 17.8% 7 Jul 31, 2025 \n 73 CGGO Capital Group Global Growth Equity ETF International stocks $304m $140m $445m 6.7% 9 May 31, 2026 \n 74 CGUS Capital Group Core Equity ETF U.S. stocks $334m $109m $443m 5.7% 12 May 31, 2026 \n 75 NLR VanEck Uranium and Nuclear ETF Themes $388m $46.8m $435m 16.8% 7 Dec 31, 2025 \n 76 CIBR First Trust NASDAQ Cybersecurity ETF Themes $225m $209m $434m 16.0% 7 Sep 30, 2024 \n 77 BBIN JPMorgan BetaBuilders International Equity ETF International stocks $113m $320m $432m 34.6% 4 Oct 31, 2025 \n 78 VXUS Vanguard Total International Stock ETF International stocks $431m $0 $431m 3.2% 8 Oct 31, 2025 \n 79 WTV WisdomTree U.S. Value Fund U.S. stocks $214m $211m $425m 12.6% 10 Mar 31, 2026 \n 80 EPP iShares MSCI Pacific ex Japan ETF International stocks $27.0m $384m $411m 59.5% 5 Aug 31, 2025 \n 81 JIVE JPMorgan International Value ETF International stocks $401m $0 $401m 60.4% 4 Oct 31, 2025 \n 82 BBCA JPMorgan BetaBuilders Canada ETF International stocks $229m $171m $400m 27.1% 9 Oct 31, 2025 \n 83 IXJ iShares Global Healthcare ETF Sector stocks $38.4m $359m $398m 23.8% 7 Mar 31, 2026 \n 84 UYG ProShares Ultra Financials Leverage $207m $190m $397m 15.5% 9 May 31, 2026 \n 85 JGLO JPMorgan Global Select Equity ETF International stocks $326m $53.8m $380m 9.3% 7 Oct 31, 2025 \n 86 QDF Northern Trust Quality Dividend ETF U.S. stocks $186m $185m $372m 33.7% 6 Oct 31, 2025 \n 87 FEZ State Street SPDR EURO STOXX 50 ETF International stocks $85.2m $283m $368m 15.5% 7 Sep 30, 2025 \n 88 DISV Dimensional International Small Cap Value ETF International stocks $218m $147m $366m 17.2% 8 Oct 31, 2025 \n 89 QGRW WisdomTree U.S. Quality Growth Fund U.S. stocks $179m $180m $359m 18.9% 10 Mar 31, 2026 \n 90 CGXU Capital Group International Focus Equity ETF International stocks $213m $133m $346m 15.0% 9 May 31, 2026 \n 91 EPI WisdomTree India Earnings Fund International stocks $71.7m $274m $346m 30.7% 5 Mar 31, 2026 \n 92 FENI Fidelity Enhanced International ETF International stocks $345m $0 $345m 4.4% 8 Jun 30, 2026 \n 93 XLK State Street Technology Select Sector SPDR ETF Sector stocks $183m $161m $344m 0.8% 18 Sep 30, 2025 \n 94 DFAE Dimensional Emerging Core Equity Market ETF International stocks $333m $0 $333m 31.8% 7 Oct 31, 2025 \n 95 ACWX iShares MSCI ACWI ex U.S. ETF International stocks $333m $0 $333m 24.7% 6 Jul 31, 2025 \n 96 DIVI Franklin International Core Dividend Tilt Index ETF International stocks $169m $161m $331m 33.0% 4 Mar 31, 2026 \n 97 JETS U.S. Global Jets ETF Themes $88.5m $239m $328m 16.8% 6 Dec 31, 2025 \n 98 IXN iShares Global Tech ETF Sector stocks $248m $79.2m $327m 20.7% 8 Mar 31, 2026 \n 99 XT iShares Future Exponential Technologies ETF Themes $0 $315m $315m 53.9% 5 Jul 31, 2025 \n 100 CGGE Capital Group Global Equity ETF International stocks $257m $58.0m $315m 13.1% 9 May 31, 2026 \n \n ETFs where UBS Securities was the only active AP\n In 4 ETFs, UBS Securities LLC was the one AP that created or redeemed shares in the period.\n ETFs where UBS Securities was the only active AP, as of Sep 23, 2026. Source: ETFIQ from Form N-CEN. # Ticker Fund Created Redeemed APs listed Period ending \n 1 IND Xtrackers Nifty 500 India ETF $5.0m $0 24 May 31, 2026 \n 2 JDIV JPMorgan Dividend Leaders ETF $1.2m $0 18 Oct 31, 2025 \n 3 EMDV ProShares MSCI Emerging Markets Dividend Growers ETF $0 $912k 39 May 31, 2026 \n 4 JCHI JPMorgan Active China ETF $657k $0 16 Oct 31, 2025 \n \n UBS Securities by category\n The ETFs UBS Securities LLC serves, by the category each is placed in, with what it created and redeemed in each.\n UBS Securities by category, as of Sep 23, 2026. Source: ETFIQ from Form N-CEN. # Category Share of its dollars ETFs served Active in Created Redeemed Only active AP in \n 1 U.S. stocks 30.6% 597 90 $22.0bn $20.2bn 0 \n 2 International stocks 47.4% 466 315 $33.8bn $31.6bn 4 \n 3 Sector stocks 6.9% 174 54 $4.4bn $5.1bn 0 \n 4 Bonds 0.3% 579 11 $422m $0 0 \n 5 Commodities 0.0% 13 0 $0 $0 0 \n 6 Allocation 0.1% 21 1 $124m $5.6m 0 \n 7 Buffer 0.0% 132 0 $0 $0 0 \n 8 Income 0.0% 82 1 $0 $4.0m 0 \n 9 Themes 13.6% 236 118 $9.1bn $9.6bn 0 \n 10 Leverage 1.0% 127 34 $680m $672m 0 \n 11 Crypto 0.0% 2 0 $0 $0 0 \n 12 Alternatives 0.1% 30 4 $76.5m $81.3m 0 \n \n Questions people ask\n 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\u2019s AP activity does UBS Securities handle? Across the 628 funds it was active in, its share of each fund\u2019s 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\u2019s latest Form N-CEN, which names its APs and the dollars each created and redeemed. ETFIQ groups the rows by UBS Securities\u2019s CRD, SEC file number and LEI, never by the name as typed. Method\n UBS Securities LLC is identified by CRD 7654, SEC file number 8-22651, LEI T6FIZBDPKLYJKFCRVK44. It is on the SEC\u2019s 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\u2019s latest Form N-CEN, with the dollars of the fund\u2019s shares it purchased from the fund (created) and redeemed in the fund\u2019s reporting period, as filed. A fund\u2019s period is its own fiscal year, or less where the filing says so, so a firm\u2019s 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. A firm\u2019s name is its registration on the SEC\u2019s 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.\n Where to next\n 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\n 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\u2019s registered name ETFIQ links to the documents behind every figure; a link is not an endorsement.\n A list of firms is not a rating or a recommendation. ETFIQ is an independent publisher, not an adviser. Standards and sources \n Cite this page. ETFIQ, UBS Securities LLC as an ETF authorized participant, data as of 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 .\n Other forms Plain ETFIQ, UBS Securities LLC as an ETF authorized participant, data as of Sep 23, 2026. https://etfiq.com/trading/authorized-participants/ubs-securities/ APA ETFIQ. (Sep 23, 2026). UBS Securities LLC as an ETF authorized participant. Retrieved from https://etfiq.com/trading/authorized-participants/ubs-securities/ Markdown [UBS Securities LLC as an ETF authorized participant (ETFIQ, Sep 23, 2026)](https://etfiq.com/trading/authorized-participants/ubs-securities/)","source":"ETFIQ, independent ETF data. Recomputed nightly from public filings and prices.","publisher":{"@id":"https://etfiq.com/#org","name":"ETFIQ","url":"https://etfiq.com"},"license":"https://etfiq.com/license/","license_text":"Figures ETFIQ computes are free to use with attribution: ETFIQ (etfiq.com). Issuer data stays under its owner's terms.","citation":"ETFIQ, UBS Securities LLC as an ETF authorized participant, data as of Sep 23, 2026. https://etfiq.com/trading/authorized-participants/ubs-securities/"}