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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

UNITED ADVISORS

UNITED ADVISORS, LLC, CRD 133668

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:f14163aa-b9dc-bdbf-fd9c-a43db1efe898

Data as of Oct 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Oct 21, 2020
24 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: $71.5MItem 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: $49.7M
Private client RAUM: $71.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 508
Individual clients: 184
High net worth clients: 2
SEC number: 801-66754
CRD: 133668
Filings on the tape: 24
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	MANAGING MEMBER	E	yes	01/2016	Apr 2, 2012	Oct 21, 2020
POPE, DARIN, PATRICK	SENIOR VICE PRESIDENT / MANAGER	Na	yes	01/2005	Apr 2, 2012	Oct 21, 2020
SANDLER, JACLYN, AIME	CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER	Na	no	03/2016	Mar 30, 2016	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
UNITED ADVISORS SERVICES, LLC	n/a	Former SEC adviser	$663M	N	yes	n/a
FINANCIAL SERVICES INTERNATIONAL CORP.	n/a	Former SEC adviser	$204M	N	no	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
Maumee	Oh	United States	1	yes
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 29, 2020	$71.5M	$49.7M	5	3	2	n/a	n/a
2018	Mar 29, 2019	$63.9M	$46.6M	5	3	5	n/a	n/a
2017	Apr 2, 2018	$153M	$120M	12	9	5	n/a	n/a
2016	Mar 31, 2017	$135M	$110M	20	13	n/a	n/a	n/a
2015	Mar 30, 2016	$200M	$177M	20	13	n/a	n/a	n/a
2014	Mar 31, 2015	$252M	$209M	24	17	n/a	n/a	n/a
2013	Mar 31, 2014	$196M	$153M	10	9	n/a	n/a	n/a
2012	Apr 1, 2013	$160M	$89.8M	10	9	n/a	n/a	n/a
2011	Apr 2, 2012	$133M	$78.7M	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	$71.5M	$63.9M	12.0%	$135M	-19.1%	5	5	2	5

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
ARBOR POINT ADVISORS	2	Apr 13, 2018	Apr 4, 2018	STEVENSVILLE, MD	Team lift out	RIA to ibd	33.3%

Relationships

Affiliated with (6)

→ UNITED ADVISORS SERVICES, LLCRegistered 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
factForm ADV
← UNITED ADVISORS SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV
← FSICRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← POPE, DARIN, PATRICKOwnerSENIOR VICE PRESIDENT / MANAGER, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← PENSKE, MARK, HULBERTOwnerMANAGING MEMBER, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV

Owns (1)

← SANDLER, JACLYN, AIMEOwnerCHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV

Registered with (18)

← DARIN PATRICK POPEAdvisorregistration: previous registration
Feb 16, 2005 to Sep 17, 2020factForm ADV
← Michael Thomas GillAdvisorregistration: previous registration
Nov 22, 2012 to Jan 31, 2019factForm ADV
← DONALD M MCCLURGAdvisorregistration: previous registration
Oct 18, 2010 to Jul 2, 2018factForm ADV
← MICHAEL HENRY MONGIELLOAdvisorregistration: previous registration
Nov 27, 2012 to May 24, 2018factForm ADV
← ALFRED FRANK CASSINELLIAdvisorregistration: previous registration
Oct 18, 2013 to Apr 13, 2018factForm ADV
← GEORGE BLUNT BREEDENAdvisorregistration: previous registration
Oct 21, 2013 to Apr 13, 2018factForm ADV
← SUZANNE LUNDEEN ABRAMSAdvisorregistration: previous registration
Mar 25, 2014 to Mar 21, 2018factForm ADV
← IRA N ROSSAdvisorregistration: previous registration
Jan 21, 2011 to May 25, 2017factForm ADV
← TIMOTHY JOHN HUGHESAdvisorregistration: previous registration
Apr 29, 2014 to May 24, 2017factForm ADV
← ZACHARY DAVID HERRINGAdvisorregistration: previous registration
Nov 16, 2016 to Mar 8, 2017factForm ADV
← MARCUS WACKERAdvisorregistration: previous registration
Mar 21, 2011 to Sep 23, 2016factForm ADV
← SCOTT DAVID MARTINAdvisorregistration: previous registration
Aug 2, 2012 to Jul 28, 2016factForm ADV
← FRANK P ECHELMEYERAdvisorregistration: previous registration
Oct 10, 2012 to Apr 22, 2016factForm ADV
← KEVIN JOHN HUGHESAdvisorregistration: previous registration
Jan 15, 2014 to Feb 23, 2016factForm ADV
← JONATHAN SOLOMON LIFSCHUTZAdvisorregistration: previous registration
Apr 23, 2014 to Feb 10, 2016factForm ADV
← Korsa NzideeAdvisorregistration: previous registration
Jan 27, 2015 to Nov 23, 2015factForm ADV
← B. David GoldsteinAdvisorregistration: previous registration
Oct 12, 2009 to Jun 5, 2015factForm ADV
← SANFORD J PRIZANTAdvisorregistration: previous registration
Dec 11, 2012 to Jan 29, 2014factForm ADV

Moved with (1)

→ ARBOR POINT ADVISORSRegistered adviser2 advisors, team lift out, same day
Apr 13, 2018 to Apr 4, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f14163aa-b9dc-bdbf-fd9c-a43db1efe898
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

UNITED ADVISORS, LLC, CRD 133668

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:f14163aa-b9dc-bdbf-fd9c-a43db1efe898

Data as of Oct 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PENSKE, MARK, HULBERT

MANAGING MEMBER

yes

01/2016

Apr 2, 2012

Oct 21, 2020

POPE, DARIN, PATRICK

SENIOR VICE PRESIDENT / MANAGER

yes

01/2005

Apr 2, 2012

Oct 21, 2020

SANDLER, JACLYN, AIME

CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER

03/2016

Mar 30, 2016

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

UNITED ADVISORS SERVICES, LLC

n/a

Former SEC adviser

$663M

yes

n/a

FINANCIAL SERVICES INTERNATIONAL CORP.

n/a

Former SEC adviser

$204M

n/a

UNITED ADVISORS INVESTMENT MANAGEMENT, LLC

n/a

No RAUM reported

yes

n/a

City

State

Country

Employees

Also broker-dealer

Maumee

United States

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Jan 29, 2020

$71.5M

$49.7M

n/a

2018

Mar 29, 2019

$63.9M

$46.6M

n/a

2017

Apr 2, 2018

$153M

$120M

n/a

2016

Mar 31, 2017

$135M

$110M

n/a

2015

Mar 30, 2016

$200M

$177M

n/a

2014

Mar 31, 2015

$252M

$209M

n/a

2013

Mar 31, 2014

$196M

$153M

n/a

2012

Apr 1, 2013

$160M

$89.8M

n/a

2011

Apr 2, 2012

$133M

$78.7M

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

$71.5M

$63.9M

12.0%

$135M

-19.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ARBOR POINT ADVISORS

Apr 13, 2018

Apr 4, 2018

STEVENSVILLE, MD

Team lift out

RIA to ibd

33.3%