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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

UNITED ADVISORS SERVICES, LLC

CRD 150080

BOCA RATON, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01748ddd-9cfc-226d-8e70-932229b9f8d2

Data as of Oct 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2012 to Oct 21, 2020
36 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $663MItem 5.F on the latest filing (2020-10-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $631M
Private client RAUM: $663MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees: 19
Offices: 7Schedule D 1.F, beyond the principal office
Accounts: 2,252
Individual clients: 1,015
High net worth clients: 66
SEC number: 801-70104
CRD: 150080
Filings on the tape: 36
First filed: Apr 2, 2012
Latest filed: Oct 21, 2020
Organised: Limited Liability Company, New Jersey

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
PENSKE, MARK, HULBERT	Member	E	yes	02/2004	Mar 31, 2015	Oct 21, 2020
UNITED ATLANTIC CAPITAL	Member	E	yes	12/2013	Mar 31, 2015	Oct 21, 2020
SANDLER, JACLYN, AIME	CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	Na	no	03/2016	May 1, 2013	Oct 21, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PLATFORM TECHNOLOGY PARTNERS LLC	n/a	Independent wealth	$1.2B	N	yes	n/a
FINANCIAL SERVICES INTERNATIONAL CORP.	n/a	Former SEC adviser	$204M	N	yes	n/a
UNITED ADVISORS, LLC	n/a	Former SEC adviser	$71.5M	N	yes	n/a
UNITED ADVISORS INVESTMENT MANAGEMENT, LLC	n/a	No RAUM reported	$0	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Dayton	Oh	United States	4	yes
Buffalo	NY	United States	2	no
STATE COLLEGE	Pa	United States	2	yes
Sharon	Pa	United States	1	no
Warren	Pa	United States	1	no
Dorset	Vt	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Jan 30, 2020	$663M	$631M	20	19	7	n/a	n/a
2018	Mar 29, 2019	$581M	$553M	26	19	7	n/a	n/a
2017	Apr 1, 2018	$651M	$627M	18	16	7	n/a	n/a
2016	Mar 31, 2017	$380M	$14.5M	16	14	n/a	n/a	n/a
2015	Mar 30, 2016	$390M	$376M	13	11	n/a	n/a	n/a
2014	Mar 31, 2015	$128M	$112M	8	5	n/a	n/a	n/a
2013	Mar 31, 2014	$149M	$120M	5	3	n/a	n/a	n/a
2012	Apr 1, 2013	$71.5M	$41.6M	5	3	n/a	n/a	n/a
2011	Apr 2, 2012	$64.4M	$39.9M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$663M	$581M	14.2%	$380M	20.4%	20	26	7	7

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B. RILEY WEALTH ADVISORS, INC.	6	Sep 17, 2020	Sep 18, 2020	BOCA RATON, FL	Team lift out	RIA to ibd	46.2%
B. RILEY WEALTH ADVISORS, INC.	3	Sep 17, 2020	Sep 14, 2020	BUFFALO, NY	Team lift out	RIA to ibd	23.1%
B. RILEY WEALTH ADVISORS, INC.	2	Sep 17, 2020	Sep 13, 2020	SHARON, PA	Team lift out	RIA to ibd	15.4%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
AMERIPRISE FINANCIAL SERVICES, LLC	2	Jan 23, 2018	Feb 5, 2018	MIAMISBURG, OH	Team lift out	Other	0.0%
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	2	Dec 18, 2017	Dec 19, 2017	CHICAGO, IL	Team lift out	Other	0.0%

Relationships

Affiliated with (5)

→ UNITED ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ UNITED ADVISORS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ PLATFORM TECHNOLOGY PARTNERSRegistered adviserother investment adviser, common control
factForm ADV
→ FSICRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← UNITED ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Owns (1)

← SANDLER, JACLYN, AIMEOwnerCHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER, ownership code NA, individual
May 1, 2013 to presentfactForm ADV

Controls (2)

← PENSKE, MARK, HULBERTOwnerMEMBER, ownership code E, individual
Mar 31, 2015 to presentfactForm ADV
← UNITED ATLANTIC CAPITALOwnerMEMBER, ownership code E, domestic entity
Mar 31, 2015 to presentfactForm ADV

Registered with (22)

← ROBERT JOSEPH CAMPBELLAdvisorregistration: previous registration
Jul 30, 2015 to Nov 4, 2020factForm ADV
← JAMES ROSEAdvisorregistration: previous registration
May 27, 2015 to Sep 22, 2020factForm ADV
← ROY ELMER MCGUFFINAdvisorregistration: previous registration
Jan 22, 2018 to Sep 18, 2020factForm ADV
← MARY DONNA STONEAdvisorregistration: previous registration
Jul 22, 2013 to Sep 17, 2020factForm ADV
← MICHELLE MARIE MALONEAdvisorregistration: previous registration
Aug 12, 2013 to Sep 17, 2020factForm ADV
← KARLA PATRICIA LEMAAdvisorregistration: previous registration
May 11, 2015 to Sep 17, 2020factForm ADV
← JERROLD STEPHEN KLEINAdvisorregistration: previous registration
Jan 10, 2014 to Sep 17, 2020factForm ADV
← RANDALL JAY KRONOURAdvisorregistration: previous registration
Feb 5, 2018 to Sep 17, 2020factForm ADV
← CLANCY J ATKINSONAdvisorregistration: previous registration
Jun 20, 2016 to Sep 17, 2020factForm ADV
← TODD WILLIAM BERGERAdvisorregistration: previous registration
May 13, 2015 to Sep 17, 2020factForm ADV
← DAVID CHARLES KRONOURAdvisorregistration: previous registration
Jan 19, 2018 to Sep 17, 2020factForm ADV
← THOMAS RAYMOND SKELTONAdvisorregistration: previous registration
Aug 28, 2017 to Sep 17, 2020factForm ADV
← ROGER MARTIN FAULRINGAdvisorregistration: previous registration
Aug 12, 2013 to Sep 17, 2020factForm ADV
← MARVA LOU KINGAdvisorregistration: previous registration
Nov 11, 2016 to Jul 31, 2020factForm ADV
← Michael Thomas GillAdvisorregistration: previous registration
Apr 20, 2018 to Dec 31, 2018factForm ADV
← DONALD LEE ROSEENAdvisorregistration: previous registration
Feb 5, 2018 to Sep 26, 2018factForm ADV
← DEREK A GHIAAdvisorregistration: previous registration
Mar 16, 2018 to Sep 12, 2018factForm ADV
← JUSTIN MICHAEL TERZOAdvisorregistration: previous registration
Dec 19, 2017 to Jun 15, 2018factForm ADV
← JOSEPH DAVID STOCKAdvisorregistration: previous registration
Dec 19, 2017 to Jun 15, 2018factForm ADV
← CARMEL ANN FURTADOAdvisorregistration: previous registration
Dec 2, 2016 to Mar 21, 2018factForm ADV
← PAUL NORMAN FRANKLINAdvisorregistration: previous registration
May 22, 2015 to Mar 31, 2017factForm ADV
← IRA N ROSSAdvisorregistration: previous registration
Jul 31, 2009 to Jan 20, 2011factForm ADV

Moved with (3)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviser6 advisors, team lift out
Sep 17, 2020 to Sep 18, 2020factForm ADV
← AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviser2 advisors, team lift out
Jan 23, 2018 to Feb 5, 2018factForm ADV
← MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviser2 advisors, team lift out, same day
Dec 18, 2017 to Dec 19, 2017factForm ADV

Dated events

Occurred
Apr 1, 2018
Regulatory AUM changed
United Advisors Services, Llc reported RAUM $650.7M, up 71% from $379.7M (2017-11-30 to 2018-04-01)
Form ADVobserved 4 days ago
$271M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01748ddd-9cfc-226d-8e70-932229b9f8d2
First observed: Apr 2, 2012
Last observed: Oct 21, 2020 71 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

UNITED ADVISORS SERVICES, LLC

CRD 150080

BOCA RATON, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01748ddd-9cfc-226d-8e70-932229b9f8d2

Data as of Oct 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:56 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PENSKE, MARK, HULBERT

Member

yes

02/2004

Mar 31, 2015

Oct 21, 2020

UNITED ATLANTIC CAPITAL

Member

yes

12/2013

Mar 31, 2015

Oct 21, 2020

SANDLER, JACLYN, AIME

CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER

03/2016

May 1, 2013

Oct 21, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PLATFORM TECHNOLOGY PARTNERS LLC

n/a

Independent wealth

$1.2B

yes

n/a

FINANCIAL SERVICES INTERNATIONAL CORP.

n/a

Former SEC adviser

$204M

yes

n/a

UNITED ADVISORS, LLC

n/a

Former SEC adviser

$71.5M

yes

n/a

UNITED ADVISORS INVESTMENT MANAGEMENT, LLC

n/a

No RAUM reported

yes

n/a

City

State

Country

Employees

Also broker-dealer

Dayton

United States

yes

Buffalo

United States

STATE COLLEGE

United States

yes

Sharon

United States

Warren

United States

Dorset

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Jan 30, 2020

$663M

$631M

n/a

2018

Mar 29, 2019

$581M

$553M

n/a

2017

Apr 1, 2018

$651M

$627M

n/a

2016

Mar 31, 2017

$380M

$14.5M

n/a

2015

Mar 30, 2016

$390M

$376M

n/a

2014

Mar 31, 2015

$128M

$112M

n/a

2013

Mar 31, 2014

$149M

$120M

n/a

2012

Apr 1, 2013

$71.5M

$41.6M

n/a

2011

Apr 2, 2012

$64.4M

$39.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$663M

$581M

14.2%

$380M

20.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

B. RILEY WEALTH ADVISORS, INC.

Sep 17, 2020

Sep 18, 2020

BOCA RATON, FL

Team lift out

RIA to ibd

46.2%

B. RILEY WEALTH ADVISORS, INC.

Sep 17, 2020

Sep 14, 2020

BUFFALO, NY

Team lift out

RIA to ibd

23.1%

B. RILEY WEALTH ADVISORS, INC.

Sep 17, 2020

Sep 13, 2020

SHARON, PA

Team lift out

RIA to ibd

15.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

AMERIPRISE FINANCIAL SERVICES, LLC

Jan 23, 2018

Feb 5, 2018

MIAMISBURG, OH

Team lift out

Other

0.0%

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Dec 18, 2017

Dec 19, 2017

CHICAGO, IL

Team lift out

Other

0.0%