DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

UNITED WEALTH PLANNING, LLC

CRD 238787

GARDEN CITY, NY

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:4602dbcd-e66a-d15c-2988-9e5bda8d36ef

Data as of Jun 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 24, 2015 to Jun 26, 2020
11 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 2
High net worth clients: 2
SEC number: 801-106716
CRD: 238787
Filings on the tape: 11
First filed: Sep 24, 2015
Latest filed: Jun 26, 2020
Organised: Limited Liability Company, New York

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
BELLER, KATHRYN, PAYNE	CHIEF COMPLIANCE OFFICER	Na	yes	05/2015	Sep 24, 2015	Jun 26, 2020
DELORENZO, LEE	PRESIDENT AND MANAGER	E	yes	05/2015	Sep 24, 2015	Jun 26, 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
UNITED ASSET STRATEGIES INC.	n/a	Independent wealth	$2.2B	N	yes	n/a
KATHRYN PAYNE BELLER	n/a	n/a	n/a	Y	no	n/a
UNITED FINANCIAL GROUP, LTD.	n/a	n/a	n/a	N	yes	n/a
UNITED RETIREMENT CONSULTANTS, INC.	n/a	n/a	n/a	N	yes	n/a

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	Feb 21, 2020	n/a	n/a	3	3	0	n/a	n/a
2018	Mar 11, 2019	n/a	n/a	3	3	0	n/a	n/a
2017	Mar 28, 2018	n/a	n/a	3	3	0	n/a	n/a
2016	Mar 8, 2017	n/a	n/a	4	3	n/a	n/a	n/a
2015	Mar 28, 2016	n/a	n/a	4	3	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	n/a	n/a	n/a	n/a	n/a	3	3	0	0

Relationships

Affiliated with (1)

→ UNITED ASSET STRATEGIES INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (2)

← DELORENZO, LEEOwnerPRESIDENT AND MANAGER, ownership code E, individual
Sep 24, 2015 to presentfactForm ADV
← BELLER, KATHRYN, PAYNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 24, 2015 to presentfactForm ADV

Dated events

Occurred
Sep 24, 2015
First Form ADV filing
United Wealth Planning, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4602dbcd-e66a-d15c-2988-9e5bda8d36ef
First observed: Sep 24, 2015
Last observed: Jun 26, 2020 75 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 WEALTH PLANNING, LLC

CRD 238787

GARDEN CITY, NY

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:4602dbcd-e66a-d15c-2988-9e5bda8d36ef

Data as of Jun 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:02 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BELLER, KATHRYN, PAYNE

CHIEF COMPLIANCE OFFICER

yes

05/2015

Sep 24, 2015

Jun 26, 2020

DELORENZO, LEE

PRESIDENT AND MANAGER

yes

05/2015

Sep 24, 2015

Jun 26, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

UNITED ASSET STRATEGIES INC.

n/a

Independent wealth

$2.2B

yes

n/a

KATHRYN PAYNE BELLER

n/a

UNITED FINANCIAL GROUP, LTD.

n/a

yes

n/a

UNITED RETIREMENT CONSULTANTS, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Feb 21, 2020

n/a

2018

Mar 11, 2019

n/a

2017

Mar 28, 2018

n/a

2016

Mar 8, 2017

n/a

2015

Mar 28, 2016

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

n/a