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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

UNITED ASSET STRATEGIES INC.

CRD 107434

GARDEN CITY, NY

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Search this name across graphsid dfx:ria:f8fb3dd6-94bc-2e44-aa60-d232dc2b04d2

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 8
On other graphs: 0
Observed: Nov 15, 2011 to Jul 9, 2026
54 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: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.2BItem 5.F on the latest filing (2026-07-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0B
Private client RAUM: $2.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 25
RAUM per advisor: $88.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 33
Advisory employees: 21
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 4,208
Individual clients: 1,074
High net worth clients: 503
Custody, client assets: $486M
SEC number: 801-41464
CRD: 107434
Filings on the tape: 54
First filed: Nov 15, 2011
Latest filed: Jul 9, 2026
Organised: Corporation, NY
Website: unitedasset.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JIORDEN SANCHEZ	Chartered Financial Analyst	GARDEN CITY, NY	5	16	n/a	no
MICHAEL GUY RICCARDI	Certified Financial Planner	GARDEN CITY, NY	5	16	n/a	no
RICHARD MICHAEL SAJKOSKI	n/a	GARDEN CITY, NY	5	34	n/a	no
MICHAEL VICTOR RICCARDI	n/a	GARDEN CITY, NY	5	33	1	no
ERIN ALBIEZ GIBBONS	Certified Financial Planner	GARDEN CITY, NY	5	28	2	no
SHANE ELI MILLER	n/a	GARDEN CITY, NY	5	26	5	no
MARISA NICOLE SMITH	n/a	GARDEN CITY, NY	5	11	n/a	no
TAMEKA WHITE	n/a	GARDEN CITY, NY	5	22	n/a	no
ANDY RYAN SELFORS	n/a	GARDEN CITY, NY	5	10	n/a	no
JEANINE MARIE KOSAKOWSKI	n/a	GARDEN CITY, NY	5	10	n/a	no
THOMAS FRANCIS HEALY	n/a	GARDEN CITY, NY	5	11	n/a	no
MARIANNE HOCKNELL	n/a	GARDEN CITY, NY	5	32	n/a	no
CANDY ELINTHIA BATISTA	n/a	GARDEN CITY, NY	5	11	n/a	no
THOMAS EDWARD LAVIANO	n/a	GARDEN CITY, NY	5	22	n/a	no
MATTHEW RYAN DELORENZO	n/a	GARDEN CITY, NY	5	18	n/a	no
ROBIN ELIZABETH BISCHOFF	n/a	GARDEN CITY, NY	5	14	n/a	no
WEI XI LEE	n/a	GARDEN CITY, NY	5	14	n/a	no
CYNTHIA MARGUERITE SOMER	n/a	GARDEN CITY, NY	5	30	n/a	no
CARLO NICHOLAS CRESCENZO	n/a	GARDEN CITY, NY	4	12	n/a	no
AMANDA ELLEN SEBESTA	n/a	GARDEN CITY, NY	4	11	n/a	no
JASON MICHAEL AMBROSINI	n/a	GARDEN CITY, NY	4	10	n/a	no
ROBERT JAMES MURPHY	Certified Financial Planner	GARDEN CITY, NY	4	33	2	no
ALLISON MARIE SAJKOSKI	Certified Financial Planner	GARDEN CITY, NY	3	13	n/a	no
Michael Abate	n/a	GARDEN CITY, NY	2	32	7	no
KEITH AARON DOUGLAS	n/a	GARDEN CITY, NY	1	37	n/a	no

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	09/2009	Jul 9, 2026	Jul 9, 2026
DELORENZO, MATTHEW, RYAN	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND SHAREHOLDER	C	yes	01/2021	Jul 9, 2026	Jul 9, 2026
MURPHY, ROBERT, JAMES	CHIEF OPERATIONS OFFICER	Na	yes	03/2022	Jul 9, 2026	Jul 9, 2026
RICCARDI, MICHAEL, VICTOR	PRESIDENT AND SHAREHOLDER	C	yes	01/2021	Jul 9, 2026	Jul 9, 2026
DELORENZO, LEE	Trustee	F	yes	12/2010	Nov 15, 2011	Jul 19, 2024
UNITED ASSET STRATEGIES, INC.	Shareholder	B	no	12/2010	Jul 9, 2026	Jul 9, 2026
DELORENZO, LEE	FOUNDER, SHAREHOLDER, AND CHAIRPERSON OF THE BOARD OF DIRECTORS	A	no	04/1992	Nov 15, 2011	Jul 19, 2024
UNITED ASSET STRATEGIES, INC. EMPLOYEE STOCK OWNERSHIP PLAN	Shareholder	B	no	12/2010	Jan 29, 2021	Jul 19, 2024

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
KATHRYN PAYNE BELLER	n/a	n/a	n/a	Y	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
SHORT HILLS	Nj	United States	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; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$2.1B	$1.9B	33	21	1	n/a	n/a
2024	Mar 28, 2025	$1.8B	$1.7B	32	21	1	n/a	n/a
2023	Mar 29, 2024	$1.6B	$1.4B	32	16	0	n/a	n/a
2022	Mar 30, 2023	$1.3B	$1.2B	30	15	0	n/a	n/a
2021	Mar 24, 2022	$1.5B	$1.4B	30	15	0	n/a	n/a
2020	Jan 29, 2021	$1.3B	$1.1B	25	13	0	n/a	n/a
2019	Feb 26, 2020	$1.1B	$922M	24	11	0	n/a	n/a
2018	Mar 13, 2019	$873M	$760M	22	11	0	n/a	n/a
2017	Mar 28, 2018	$902M	$771M	21	11	0	n/a	n/a
2016	Mar 16, 2017	$800M	$659M	21	11	n/a	n/a	n/a
2015	Mar 28, 2016	$700M	$585M	21	11	n/a	n/a	n/a
2014	Feb 24, 2015	$738M	$664M	18	8	n/a	n/a	n/a
2013	Mar 21, 2014	$694M	$619M	18	8	n/a	n/a	n/a
2012	Mar 19, 2013	$642M	$584M	19	8	n/a	n/a	n/a
2011	Mar 28, 2012	$509M	$457M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

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
2025	$2.2B	$1.8B	20.2%	$1.3B	18.6%	33	32	1	1

Relationships

Registered with (27)

← KEITH AARON DOUGLASAdvisorregistration: current employment
Dec 2, 2024 to presentfactForm ADV
← Michael AbateAdvisorregistration: current employment
Jun 18, 2024 to presentfactForm ADV
← ALLISON MARIE SAJKOSKIAdvisorregistration: current employment
Apr 20, 2023 to presentfactForm ADV
← ROBERT JAMES MURPHYAdvisorregistration: current employment
Mar 2, 2022 to presentfactForm ADV
← JASON MICHAEL AMBROSINIAdvisorregistration: current employment
Dec 20, 2021 to presentfactForm ADV
← AMANDA ELLEN SEBESTAAdvisorregistration: current employment
Nov 12, 2021 to presentfactForm ADV
← CARLO NICHOLAS CRESCENZOAdvisorregistration: current employment
Oct 6, 2021 to presentfactForm ADV
← CYNTHIA MARGUERITE SOMERAdvisorregistration: current employment
Aug 4, 2021 to presentfactForm ADV
← THOMAS FRANCIS HEALYAdvisorregistration: current employment
Jul 27, 2021 to presentfactForm ADV
← MARIANNE HOCKNELLAdvisorregistration: current employment
Jul 27, 2021 to presentfactForm ADV
← CANDY ELINTHIA BATISTAAdvisorregistration: current employment
Jul 27, 2021 to presentfactForm ADV
← THOMAS EDWARD LAVIANOAdvisorregistration: current employment
Jul 27, 2021 to presentfactForm ADV
← MATTHEW RYAN DELORENZOAdvisorregistration: current employment
Jul 27, 2021 to presentfactForm ADV
← ROBIN ELIZABETH BISCHOFFAdvisorregistration: current employment
Jul 27, 2021 to presentfactForm ADV
← WEI XI LEEAdvisorregistration: current employment
Jul 27, 2021 to presentfactForm ADV
← JEANINE MARIE KOSAKOWSKIAdvisorregistration: current employment
Jul 21, 2021 to presentfactForm ADV
← TAMEKA WHITEAdvisorregistration: current employment
Jul 20, 2021 to presentfactForm ADV
← ANDY RYAN SELFORSAdvisorregistration: current employment
Jul 20, 2021 to presentfactForm ADV
← RICHARD MICHAEL SAJKOSKIAdvisorregistration: current employment
Jul 11, 2021 to presentfactForm ADV
← MICHAEL VICTOR RICCARDIAdvisorregistration: current employment
Jul 11, 2021 to presentfactForm ADV
← ERIN ALBIEZ GIBBONSAdvisorregistration: current employment
Jul 11, 2021 to presentfactForm ADV
← SHANE ELI MILLERAdvisorregistration: current employment
Jul 11, 2021 to presentfactForm ADV
← MARISA NICOLE SMITHAdvisorregistration: current employment
Jul 11, 2021 to presentfactForm ADV
← JIORDEN SANCHEZAdvisorregistration: current employment
Jul 6, 2021 to presentfactForm ADV
← MICHAEL GUY RICCARDIAdvisorregistration: current employment
Jul 6, 2021 to presentfactForm ADV
← Matthew R. CoughlinAdvisorregistration: previous registration
Sep 7, 2022 to Nov 21, 2022factForm ADV
← Christine NardellaAdvisorregistration: previous registration
Jul 20, 2021 to Jul 27, 2022factForm ADV

Affiliated with (1)

← UNITED WEALTH PLANNING, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← DELORENZO, LEEOwnerTRUSTEE, ownership code F, individual
Nov 15, 2011 to Jul 19, 2024factForm ADV
← RICCARDI, MICHAEL, VICTOROwnerPRESIDENT AND SHAREHOLDER, ownership code C, individual
Jan 29, 2021 to Jul 19, 2024factForm ADV
← MURPHY, ROBERT, JAMESOwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Mar 24, 2022 to Jul 19, 2024factForm ADV
← DELORENZO, MATTHEW, ROwnerCHIEF INVESTMENT OFFICER AND SHAREHOLDER, ownership code C, individual
Jan 29, 2021 to Jul 19, 2024factForm ADV
← BELLER, KATHRYN, PAYNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 15, 2011 to Jul 19, 2024factForm ADV

Owns (2)

← DELORENZO, LEEOwnerFOUNDER, SHAREHOLDER, AND CHAIRPERSON OF THE BOARD OF DIRECTORS, ownership code A, individual
Nov 15, 2011 to Jul 19, 2024factForm ADV
← UNITED ASSET STRATEGIES, INC. EMPLOYEE STOCK OWNERSHIP PLANOwnerSHAREHOLDER, ownership code B, domestic entity
Jan 29, 2021 to Jul 19, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Nov 21, 2022
Advisor changed firm
Matthew R. Coughlin left United Asset Strategies Inc. for Td Private Client Wealth Llc (registered 2023-02-22)
Form ADVobserved 4 days ago
Occurred
Jul 27, 2022
Advisor changed firm
Christine Nardella left United Asset Strategies Inc. for Opal Wealth Advisors, Llc (registered 2022-06-13)
Form ADVobserved 4 days ago
Occurred
May 11, 2022
Control person left
Albiez Erin Gibbons (Chief Operations Officer And Shareholder) no longer on Schedule A of United Asset Strategies Inc. (listed 2022-03-24, absent 2022-05-11)
Form ADVobserved 4 days ago
Occurred
Mar 24, 2022
Control person joined
James Robert Murphy (Executive Vice President) appeared on Schedule A of United Asset Strategies Inc.
Form ADVobserved 4 days ago
Occurred
Jan 29, 2021
Control person joined
R Matthew Delorenzo (Chief Investment Officer And Shareholder) appeared on Schedule A of United Asset Strategies Inc.
Form ADVobserved 4 days ago
Occurred
Jan 29, 2021
Control person joined
Victor Michael Riccardi (President And Shareholder) appeared on Schedule A of United Asset Strategies Inc.
Form ADVobserved 4 days ago
Occurred
Jan 29, 2021
Control person joined
Albiez Erin Gibbons (Chief Operations Officer And Shareholder) appeared on Schedule A of United Asset Strategies Inc.
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Mar 24, 2022
United Asset Strategies Inc. reported 26 state-registered advisory representatives, up from 1 (2021-12-06 to 2022-03-24)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f8fb3dd6-94bc-2e44-aa60-d232dc2b04d2
First observed: Nov 15, 2011
Last observed: Jul 9, 2026 2 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 ASSET STRATEGIES INC.

CRD 107434

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:f8fb3dd6-94bc-2e44-aa60-d232dc2b04d2

Data as of Jul 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JIORDEN SANCHEZ

Chartered Financial Analyst

GARDEN CITY, NY

n/a

MICHAEL GUY RICCARDI

Certified Financial Planner

GARDEN CITY, NY

n/a

RICHARD MICHAEL SAJKOSKI

n/a

GARDEN CITY, NY

n/a

MICHAEL VICTOR RICCARDI

n/a

GARDEN CITY, NY

ERIN ALBIEZ GIBBONS

Certified Financial Planner

GARDEN CITY, NY

SHANE ELI MILLER

n/a

GARDEN CITY, NY

MARISA NICOLE SMITH

n/a

GARDEN CITY, NY

n/a

TAMEKA WHITE

n/a

GARDEN CITY, NY

n/a

ANDY RYAN SELFORS

n/a

GARDEN CITY, NY

n/a

JEANINE MARIE KOSAKOWSKI

n/a

GARDEN CITY, NY

n/a

THOMAS FRANCIS HEALY

n/a

GARDEN CITY, NY

n/a

MARIANNE HOCKNELL

n/a

GARDEN CITY, NY

n/a

CANDY ELINTHIA BATISTA

n/a

GARDEN CITY, NY

n/a

THOMAS EDWARD LAVIANO

n/a

GARDEN CITY, NY

n/a

MATTHEW RYAN DELORENZO

n/a

GARDEN CITY, NY

n/a

ROBIN ELIZABETH BISCHOFF

n/a

GARDEN CITY, NY

n/a

WEI XI LEE

n/a

GARDEN CITY, NY

n/a

CYNTHIA MARGUERITE SOMER

n/a

GARDEN CITY, NY

n/a

CARLO NICHOLAS CRESCENZO

n/a

GARDEN CITY, NY

n/a

AMANDA ELLEN SEBESTA

n/a

GARDEN CITY, NY

n/a

JASON MICHAEL AMBROSINI

n/a

GARDEN CITY, NY

n/a

ROBERT JAMES MURPHY

Certified Financial Planner

GARDEN CITY, NY

ALLISON MARIE SAJKOSKI

Certified Financial Planner

GARDEN CITY, NY

n/a

Michael Abate

n/a

GARDEN CITY, NY

KEITH AARON DOUGLAS

n/a

GARDEN CITY, NY

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BELLER, KATHRYN, PAYNE

CHIEF COMPLIANCE OFFICER

yes

09/2009

Jul 9, 2026

DELORENZO, MATTHEW, RYAN

CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, AND SHAREHOLDER

yes

01/2021

Jul 9, 2026

MURPHY, ROBERT, JAMES

CHIEF OPERATIONS OFFICER

yes

03/2022

Jul 9, 2026

RICCARDI, MICHAEL, VICTOR

PRESIDENT AND SHAREHOLDER

yes

01/2021

Jul 9, 2026

DELORENZO, LEE

Trustee

yes

12/2010

Nov 15, 2011

Jul 19, 2024

UNITED ASSET STRATEGIES, INC.

Shareholder

12/2010

Jul 9, 2026

DELORENZO, LEE

FOUNDER, SHAREHOLDER, AND CHAIRPERSON OF THE BOARD OF DIRECTORS

04/1992

Nov 15, 2011

Jul 19, 2024

UNITED ASSET STRATEGIES, INC. EMPLOYEE STOCK OWNERSHIP PLAN

Shareholder

12/2010

Jan 29, 2021

Jul 19, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KATHRYN PAYNE BELLER

n/a

City

State

Country

Employees

Also broker-dealer

SHORT HILLS

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$2.1B

$1.9B

n/a

2024

Mar 28, 2025

$1.8B

$1.7B

n/a

2023

Mar 29, 2024

$1.6B

$1.4B

n/a

2022

Mar 30, 2023

$1.3B

$1.2B

n/a

2021

Mar 24, 2022

$1.5B

$1.4B

n/a

2020

Jan 29, 2021

$1.3B

$1.1B

n/a

2019

Feb 26, 2020

$1.1B

$922M

n/a

2018

Mar 13, 2019

$873M

$760M

n/a

2017

Mar 28, 2018

$902M

$771M

n/a

2016

Mar 16, 2017

$800M

$659M

n/a

2015

Mar 28, 2016

$700M

$585M

n/a

2014

Feb 24, 2015

$738M

$664M

n/a

2013

Mar 21, 2014

$694M

$619M

n/a

2012

Mar 19, 2013

$642M

$584M

n/a

2011

Mar 28, 2012

$509M

$457M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$2.2B

$1.8B

20.2%

$1.3B

18.6%