UNITED CAPITAL FINANCIAL ADVISORS
Latest filing: Sep 17, 2024 (214 days ago)
AUM
$17,693,379,042
0% change vs. 1 year ago
2% change vs. 3 years ago
-36% change vs. 5 years ago
59% change vs. 10 years ago
Employee Count
288
0% change vs. 1 year ago
-62% change vs. 3 years ago
-63% change vs. 5 years ago
-34% change vs. 10 years ago
Main Office
IRVING, TX
125 E JOHN CARPENTER FRWY, IRVING, TX, UNITED STATES, 75062
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $16.8 |
| Non-Discretionary | $0.9 |
| Total | $17.7 |
| Client | AUM |
|---|---|
| Retail | $14.8 |
| Pooled | $0.0 |
| Institutional | $2.9 |
| Total | $17.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 28,246 | $6.4 |
| Average Individual AUM | $225,409 | |
| HNW | 3,168 | $8.4 |
| Average HNW AUM | $2,664,013 | |
| Retail Total | 31,414 | $14.8 |
| Average Retail AUM | $471,335 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | WESTLAKE-TX-USA | $10.5 |
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $6.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $17.7 |
| Retail SMA AUM | $14.8 |
| Institutional SMA AUM | $2.9 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 32% | $5.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 3% | $0.5 |
| Municipal | 6% | $1.1 |
| Sovereign | 0% | $0.0 |
| IG Credit | 5% | $0.9 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 48% | $8.5 |
| Other Pools | 1% | $0.2 |
| Cash | 4% | $0.7 |
| Other | 1% | $0.2 |
| Total | 100% | $17.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| CREATIVE PLANNING, LLC | $217.4 | 105348 | |
| CREATIVE PLANNING INSURANCE, LLC | $0.0 | - | |
| CREATIVE PLANNING RISK MANAGEMENT, LLC | $0.0 | - | |
| CREATIVE PLANNING LENDING, LLC | $0.0 | - | |
| CREATIVE PLANNING TAX, LLC | $0.0 | accountancy | - |
| CREATIVE PLANNING TPA, LLC | $0.0 | accountancy | - |
| CP STRATEGIC ADVISORS, LLC | $0.0 | accountancy | - |
| CREATIVE PLANNING LEGAL, P.A. | $0.0 | law firm | - |
| UNITED CAPITAL RISK MANAGEMENT, LLC | $0.0 | - | |
| CREATIVE PLANNING PAYROLL, LLC | $0.0 | accountancy | - |
| CREATIVE PLANNING BUSINESS ACCOUNTING SERVICES, LLC | $0.0 | accountancy | - |
| CREATIVE PLANNING TRUST COMPANY, LLC | $0.0 | trust company | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
15 active
| Name | Title |
|---|---|
| RIVERS, JAMES, FRANCIS | PRESIDENT |
| MALLOUK, PETER, ALEX | TRUSTEE |
| MALLOUK, ALEXANDER, GEORGE | TRUSTEE |
| LARIMORE, SONJA, LEANN | CHIEF COMPLIANCE OFFICER |
| MLENEK, ROBERT, ARTHUR | CHIEF FINANCIAL OFFICER |
| SALDANHA, MELROY | CHIEF TECHNOLOGY OFFICER |
| SEILER, JONATHAN, DAVID | HEAD OF OPERATIONS |
| SALB, FRANKLIN, WAYNE | CHIEF INVESTMENT OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
138 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| CHARLES YORK | IRVING | TX | S63|2015-01-26 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
| ELIZABETH SCHWINGHAMMER | IRVING | TX | S63|2006-02-24 | CHARTERED FINANCIAL ANALYST | |||||
| JONATHAN GRAHAM | IRVING | TX | S63|2020-09-29|S65|2020-11-16 | ||||||
| ERIK JENSEN | IRVING | TX | S63|1990-11-08|S65|1998-09-21 | CERTIFIED FINANCIAL PLANNER | |||||
| CHARLES HAYNOR | IRVING | TX | CHARTERED FINANCIAL ANALYST | ||||||
| TIMOTHY LONG | IRVING | TX | S63|2001-05-25|S65|2012-04-11 | CERTIFIED FINANCIAL PLANNER | |||||
| NICHOLE HORTON | IRVING | TX | S63|2005-02-26|S66|2006-12-26 | ||||||
| JOSEPH BENSON | IRVING | TX | S66|2021-11-01 | ||||||
| JUSTIN TRAVIS | IRVING | TX | S65|2020-07-16 | CERTIFIED FINANCIAL PLANNER | |||||
| WILLIAM WALKER | IRVING | TX | S66|2011-04-18 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| VIRGINIA BREWER | IRVING | TX | CERTIFIED FINANCIAL PLANNER | ||||||
| PAUL MESSITER | IRVING | TX | S63|1992-01-30 | CERTIFIED FINANCIAL PLANNER | |||||
| DANIEL KATES | IRVING | TX | S63|2010-08-28|S65|2015-02-25 | ||||||
| CHRISTOPHER BATTREALL | IRVING | TX | S63|2000-05-02|S65|2001-06-20 | CERTIFIED FINANCIAL PLANNER | |||||
| RAYMOND KEY | IRVING | TX | S63|1997-04-17|S66|2010-10-04|S65|2020-10-20 | ||||||
| CHLOE BERENTSEN | IRVING | TX | S65|2021-12-31 | ||||||
| WILLIAM SWEARINGEN | IRVING | TX | S63|1988-02-24|S66|2002-03-21 | ||||||
| DEXTER CONNER | IRVING | TX | S66|2016-01-07 | ||||||
| SAMUEL SCHLESINGER | IRVING | TX | S65|2018-06-02 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRISTIAN TANT | IRVING | TX | CHARTERED FINANCIAL CONSULTANT | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $17.7 | $0.0 | 0% | 288 | 0 | 0% |
| 2024-04-02 | $17.7 | $0.0 | 0% | 288 | 0 | 0% |
| 2023-04-04 | $13.2 | $4.5 | 34% | 727 | -439 | -60% |
| 2022-04-01 | $17.4 | $0.3 | 2% | 758 | -470 | -62% |
| 2021-04-05 | $29.5 | -$11.8 | -40% | 801 | -513 | -64% |
| 2020-04-01 | $27.6 | -$10.0 | -36% | 769 | -481 | -63% |
| 2019-04-01 | $22.1 | -$4.4 | -20% | 671 | -383 | -57% |
| 2018-04-02 | $21.5 | -$3.8 | -18% | 650 | -362 | -56% |
| 2017-04-01 | $17.5 | $0.2 | 1% | 592 | -304 | -51% |
| 2016-04-01 | $15.4 | $2.3 | 15% | 561 | -273 | -49% |
| 2015-04-01 | $11.1 | $6.6 | 59% | 437 | -149 | -34% |
| 2014-04-01 | $9.6 | $8.1 | 85% | 354 | -66 | -19% |
| 2013-04-01 | $5.6 | $12.1 | 217% | 210 | 78 | 37% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| TX, AK-11/23/2020, AL-11/23/2020, AR-11/23/2020, AZ-11/23/2020, CA-11/23/2020, CO-11/23/2020, CT-11/23/2020, DC-11/23/2020, DE-11/23/2020, FL-11/23/2020, GA-11/23/2020, HI-11/23/2020, IA-11/23/2020, ID-11/23/2020, IL-11/23/2020, IN-11/23/2020, KS-11/23/2020, KY-11/23/2020, LA-11/23/2020, MA-11/23/2020, MD-11/23/2020, ME-11/23/2020, MI-11/23/2020, MN-11/23/2020, MO-11/23/2020, MS-11/23/2020, MT-11/23/2020, NC-11/23/2020, ND-11/23/2020, NE-11/23/2020, NH-11/23/2020, NJ-11/23/2020, NM-11/23/2020, NV-11/01/2005, NY-11/23/2020, OH-06/15/2006, OK-11/23/2020, OR-11/23/2020, PA-10/20/2005, PR-11/23/2020, RI-11/23/2020, SC-11/23/2020, SD-11/23/2020, TN-11/23/2020, TX-11/23/2020, UT-11/23/2020, VA-11/23/2020, VI-11/23/2020, VT-11/23/2020, WA-11/23/2020, WI-11/23/2020, WV-11/23/2020, WY-11/23/2020 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION NEWSLETTERS EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV