DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
United Asset Strategies Inc.
Latest filing Jul 9, 2026
First filing on the tape Nov 15, 2011 · 54 filings
SEC status approved since Jun 9, 1992
RAUM
$2.2B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
92%
$2.0B individuals and HNW
Advisors
25
registered through the firm on IAPD
RAUM per advisor
$88.7M
derived; firm RAUM over IAPD count
Employees
33
21 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$2.2B as of Jul 9, 2026
Mar 28, 2012$509M then
HNW client RAUM$1.7B as of Jul 9, 2026
Mar 28, 2018$534M then
State-registered IARs (5.B.3)25 as of Jul 9, 2026
Mar 19, 20130 then
Employees (5.A)33 as of Jul 9, 2026
Mar 19, 201319 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 26 to 25
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $88.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $527,091derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 12.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -3.8%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $486M, 448 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B75%
- Individuals$369M17%
- Pension and profit-sharing plans$143M6.5%
- Corporations and businesses$26.6M1.2%
- Charitable organizations$12.4M0.6%
- Individual clients
- 1,074reported
- HNW clients
- 503reported
- Pension plan clients
- 71reported
- Charitable clients
- 2reported
- Accounts
- 4,208reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $486M for 448 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
25 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Guy RiccardiCertified Financial Planner | Garden City, Ny | Jul 6, 2021 | 16 y | 0 |
| Jiorden SanchezChartered Financial Analyst | Garden City, Ny | Jul 6, 2021 | 16 y | 0 |
| Erin Albiez GibbonsCertified Financial Planner | Garden City, Ny | Jul 11, 2021 | 28 y | 2 |
| Marisa Nicole Smith | Garden City, Ny | Jul 11, 2021 | 11 y | 0 |
| Richard Michael Sajkoski | Garden City, Ny | Jul 11, 2021 | 34 y | 0 |
| Michael Victor Riccardi | Garden City, Ny | Jul 11, 2021 | 33 y | 1 |
| Shane Eli Miller | Garden City, Ny | Jul 11, 2021 | 26 y | 5 |
| Andy Ryan Selfors | Garden City, Ny | Jul 20, 2021 | 10 y | 0 |
| Tameka White | Garden City, Ny | Jul 20, 2021 | 22 y | 0 |
| Jeanine Marie Kosakowski | Garden City, Ny | Jul 21, 2021 | 10 y | 0 |
| Wei Xi Lee | Garden City, Ny | Jul 27, 2021 | 14 y | 0 |
| Candy Elinthia Batista | Garden City, Ny | Jul 27, 2021 | 11 y | 0 |
| Robin Elizabeth Bischoff | Garden City, Ny | Jul 27, 2021 | 14 y | 0 |
| Thomas Francis Healy | Garden City, Ny | Jul 27, 2021 | 11 y | 0 |
| Matthew Ryan Delorenzo | Garden City, Ny | Jul 27, 2021 | 18 y | 0 |
| Marianne Hocknell | Garden City, Ny | Jul 27, 2021 | 32 y | 0 |
| Thomas Edward Laviano | Garden City, Ny | Jul 27, 2021 | 22 y | 0 |
| Cynthia Marguerite Somer | Garden City, Ny | Aug 4, 2021 | 30 y | 0 |
| Carlo Nicholas Crescenzo | Garden City, Ny | Oct 6, 2021 | 12 y | 0 |
| Amanda Ellen Sebesta | Garden City, Ny | Nov 12, 2021 | 11 y | 0 |
| Jason Michael Ambrosini | Garden City, Ny | Dec 20, 2021 | 10 y | 0 |
| Robert James MurphyCertified Financial Planner | Garden City, Ny | Mar 2, 2022 | 33 y | 2 |
| Allison Marie SajkoskiCertified Financial Planner | Garden City, Ny | Apr 20, 2023 | 13 y | 0 |
| Michael Abate | Garden City, Ny | Jun 18, 2024 | 32 y | 7 |
| Keith Aaron Douglas | Garden City, Ny | Dec 2, 2024 | 37 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Matthew R. Coughlin to Td Private Client Wealth LLCNov 21, 2022 · RIA to affiliated broker-dealer or bank
- Christine Nardella to Opal Wealth Advisors, LLCJul 27, 2022 · RIA to RIA
Joined, latest
- Michael Abate from World Investment Advisors, LLCJun 18, 2024 · Other
- Matthew R. Coughlin from J.P. Morgan Securities LLCSep 7, 2022 · Wirehouse to independent RIA
- Robert James Murphy from Td Ameritrade Investment Management, LLCMar 2, 2022 · RIA to RIA
- Shane Eli Miller from Td Ameritrade, Inc.Jul 11, 2021 · Other
- Michael Victor Riccardi from Pinnacle Associates, Ltd.Jul 11, 2021 · Other
- Erin Albiez Gibbons from Stifel, Nicolaus & Company, IncorporatedJul 11, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Payne Kathryn Beller · Chief Compliance Officercontrolsince 09/2009 · owns less than 5%
- Ryan Matthew Delorenzo · Chief Executive Officer, Chief Investment Officer, And Shareholdercontrolsince 01/2021 · owns 25% to 50%
- James Robert Murphy · Chief Operations Officercontrolsince 03/2022 · owns less than 5%
- Victor Michael Riccardi · President And Shareholdercontrolsince 01/2021 · owns 25% to 50%
- Lee Delorenzo · Trusteecontrolsince 12/2010 · owns F of United Asset Strategies, Inc. Employee Stock Ownership Plan
- Lee Delorenzo · Founder, Shareholder, And Chairperson Of The Board Of Directorssince 04/1992 · owns 5% to 10%
Entity owners
- United Asset Strategies, Inc. · Shareholderdirect · owns 10% to 25%
- United Asset Strategies, Inc. Employee Stock Ownership Plan · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 25 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Short Hills, NJ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 9, 2026DELORENZO, LEE (TRUSTEE) left Schedule A between the filings of 2022-03-24 and 2026-07-09peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- HNW clients · 501 to 503Mar 30, 2026 to Jul 9, 2026
- Individual clients · 1,052 to 1,074Mar 30, 2026 to Jul 9, 2026
- Pension plan clients · 74 to 71Mar 30, 2026 to Jul 9, 2026
- Discretionary RAUM · $1.9B to $2.0BMar 30, 2026 to Jul 9, 2026
- HNW RAUM · $1.6B to $1.7BMar 30, 2026 to Jul 9, 2026
- Individual RAUM · $326M to $369MMar 30, 2026 to Jul 9, 2026
- Non-discretionary RAUM · $173M to $172MMar 30, 2026 to Jul 9, 2026
- Pension RAUM · $143M to $143MMar 30, 2026 to Jul 9, 2026
- RAUM · $2.1B to $2.2BMar 30, 2026 to Jul 9, 2026
- Accounts · 4,029 to 4,208Jan 9, 2026 to Mar 30, 2026
- Advisory employees · 20 to 21Jan 9, 2026 to Mar 30, 2026
- Corporate clients · 17 to 23Jan 9, 2026 to Mar 30, 2026
- HNW clients · 384 to 501Jan 9, 2026 to Mar 30, 2026
- Individual clients · 1,138 to 1,052Jan 9, 2026 to Mar 30, 2026
- Pension plan clients · 57 to 74Jan 9, 2026 to Mar 30, 2026
- Assets in custody · $539M to $486MJan 9, 2026 to Mar 30, 2026
- Employees · 31 to 33Jan 9, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.7B to $1.9BJan 9, 2026 to Mar 30, 2026
- HNW RAUM · $1.2B to $1.6BJan 9, 2026 to Mar 30, 2026
- Individual RAUM · $440M to $326MJan 9, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $158M to $173MJan 9, 2026 to Mar 30, 2026
- Pension RAUM · $171M to $143MJan 9, 2026 to Mar 30, 2026
- RAUM · $1.8B to $2.1BJan 9, 2026 to Mar 30, 2026
- Advisory employees · 21 to 20Dec 18, 2025 to Jan 9, 2026
- Employees · 32 to 31Dec 18, 2025 to Jan 9, 2026
- State-registered IARs · 26 to 25Dec 18, 2025 to Jan 9, 2026
- Accounts · 3,931 to 4,029Jul 19, 2024 to Mar 28, 2025
- Advisory employees · 16 to 21Jul 19, 2024 to Mar 28, 2025
- BD registered reps · 1 to 0Jul 19, 2024 to Mar 28, 2025
- Charity clients · 4 to 2Jul 19, 2024 to Mar 28, 2025
- Corporate clients · 14 to 17Jul 19, 2024 to Mar 28, 2025
- HNW clients · 368 to 384Jul 19, 2024 to Mar 28, 2025
- Individual clients · 1,102 to 1,138Jul 19, 2024 to Mar 28, 2025
- Pension plan clients · 56 to 57Jul 19, 2024 to Mar 28, 2025
- Assets in custody · $426M to $539MJul 19, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Jul 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.6B to $1.7BJul 19, 2024 to Mar 28, 2025
- HNW RAUM · $1.1B to $1.2BJul 19, 2024 to Mar 28, 2025
- Individual RAUM · $369M to $440MJul 19, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $147M to $158MJul 19, 2024 to Mar 28, 2025
Signals
8 dated events
- Matthew R. Coughlin left United Asset Strategies Inc. for Td Private Client Wealth Llc (registered 2023-02-22)Nov 21, 2022 · Advisor changed firm · fact
- Christine Nardella left United Asset Strategies Inc. for Opal Wealth Advisors, Llc (registered 2022-06-13)Jul 27, 2022 · Advisor changed firm · fact
- 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)May 11, 2022 · Control person left · inference
- United Asset Strategies Inc. reported 26 state-registered advisory representatives, up from 1 (2021-12-06 to 2022-03-24)Mar 24, 2022 · Advisor headcount change · derived
- James Robert Murphy (Executive Vice President) appeared on Schedule A of United Asset Strategies Inc.Mar 24, 2022 · Control person joined · fact
- R Matthew Delorenzo (Chief Investment Officer And Shareholder) appeared on Schedule A of United Asset Strategies Inc.Jan 29, 2021 · Control person joined · fact
- Victor Michael Riccardi (President And Shareholder) appeared on Schedule A of United Asset Strategies Inc.Jan 29, 2021 · Control person joined · fact
- Albiez Erin Gibbons (Chief Operations Officer And Shareholder) appeared on Schedule A of United Asset Strategies Inc.Jan 29, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@unitedasset.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 516-222-0021reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 516-222-0163reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/UNITED-ASSET-STRATEGIES-INCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- UNITEDASSET.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 516-222-0021reportedpublic record, Form ADV, Jul 9, 2026
- Contact form
- UNITEDASSET.COM/contactreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $88.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026