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.

Former SEC-registered adviser

Uas Wealth Advisors

Former SEC-registered adviserAlbuquerque, New MexicoCRD 132903SEC 801-63572IAPD

Legal name Uasnm, Inc.

Latest filing Mar 30, 2022

First filing on the tape Mar 30, 2012 · 28 filings

RAUM

$399M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

93%

$369M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$399M as of Mar 30, 2022

Mar 30, 2012$275M then

HNW client RAUM$296M as of Mar 30, 2022

Mar 31, 2018$238M then

State-registered IARs (5.B.3)4 as of Mar 30, 2022

Mar 30, 20120 then

Employees (5.A)6 as of Mar 30, 2022

Mar 28, 20137 then

Private funds2 as of Mar 28, 2013

Mar 30, 20122 then

RAUM +17% over the last fiscal year+11% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Mar 30, 2022; every figure names its basis

RAUM per advisor: $99.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 68derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $500,396derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +17%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.7%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
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 securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$296M74%
Individuals$73.4M18%
Charitable organizations$19.7M4.9%
Pension and profit-sharing plans$9.6M2.4%
Corporations and businesses$570.0%

Individual clients: 145reported
HNW clients: 127reported
Pension plan clients: 7reported
Charitable clients: 4reported
Accounts: 797reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

Donald Austin Mcdaniel to Allworth Financial, L.P.
Jun 30, 2022 · RIA to affiliated broker-dealer or bank
Kirk Randolph Hudson to Allworth Financial, L.P.
Jun 30, 2022 · RIA to affiliated broker-dealer or bank
Matthew David Keller to Allworth Financial, L.P.
Jun 30, 2022 · RIA to affiliated broker-dealer or bank
Joseph Jacob Kopczynski to Allworth Financial, L.P.
Jun 30, 2022 · RIA to affiliated broker-dealer or bank
Scott Hanson Womack to Womack Wealth Management, Inc.
Apr 3, 2014 · Other
Peter Thomas Lehrman to Sandia Wealth Management, LLC
Apr 16, 2012 · Other

Joined, latest

Donald Austin Mcdaniel from Bancwest Investment Services, Inc. (Bwis)
Jan 17, 2014 · Other
Peter Thomas Lehrman from Raymond James Financial Services Advisors, Inc
Aug 29, 2011 · Other
Kirk Randolph Hudson from Universal Advisory Services Inc
Nov 9, 2004 · Other
Matthew David Keller from Universal Advisory Services Inc
Nov 9, 2004 · Other
Joseph Jacob Kopczynski from Universal Advisory Services Inc
Nov 9, 2004 · Other
Scott Hanson Womack from Universal Advisory Services Inc
Oct 27, 2004 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

4 left for Allworth Financial, L.P.
Jun 30, 2022 · Albuquerque, Nm · Firm absorbed

Teams out Teams in

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
Secured Partners, LLCno longer reported	Real Estate Fund	$2.3M	10	Mar 30, 2012
Secured Partners II, LLCno longer reported	Real Estate Fund	$1.8M	17	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

Randolph Kirk Hudson · President/Chief Financial Officer/Chief Compliance Officercontrol
since 08/2004 · owns 25% to 50%
David Matthew Keller · Chief Operating Officer, Chief Executive Officercontrol
since 01/2005 · owns 25% to 50%
Austin Donald Mcdaniel · Chief Investment Officercontrol
since 03/2018 · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 735 to 797
Jul 9, 2021 to Mar 30, 2022
HNW clients · 117 to 127
Jul 9, 2021 to Mar 30, 2022
Individual clients · 138 to 145
Jul 9, 2021 to Mar 30, 2022
Pension plan clients · 9 to 7
Jul 9, 2021 to Mar 30, 2022
Assets in custody · $32.3M to $39.1M
Jul 9, 2021 to Mar 30, 2022
Custody of client assets · true to false
Jul 9, 2021 to Mar 30, 2022
Discretionary RAUM · $336M to $391M
Jul 9, 2021 to Mar 30, 2022
HNW RAUM · $256M to $296M
Jul 9, 2021 to Mar 30, 2022
Individual RAUM · $55.4M to $73.4M
Jul 9, 2021 to Mar 30, 2022
Non-discretionary RAUM · $4.4M to $7.9M
Jul 9, 2021 to Mar 30, 2022
Pension RAUM · $10.5M to $9.6M
Jul 9, 2021 to Mar 30, 2022
RAUM · $340M to $399M
Jul 9, 2021 to Mar 30, 2022
Business name · UNIVERSAL ADVISORY SERVICES to UAS WEALTH ADVISORS
Mar 31, 2021 to Jul 9, 2021
Accounts · 770 to 735
Jul 1, 2020 to Mar 31, 2021
Corporate clients · 2 to 1
Jul 1, 2020 to Mar 31, 2021
HNW clients · 120 to 117
Jul 1, 2020 to Mar 31, 2021
Individual clients · 129 to 138
Jul 1, 2020 to Mar 31, 2021
Pension plan clients · 8 to 9
Jul 1, 2020 to Mar 31, 2021
Assets in custody · $31.9M to $32.3M
Jul 1, 2020 to Mar 31, 2021
Employees · 5 to 6
Jul 1, 2020 to Mar 31, 2021
Discretionary RAUM · $294M to $336M
Jul 1, 2020 to Mar 31, 2021
HNW RAUM · $246M to $256M
Jul 1, 2020 to Mar 31, 2021
Individual RAUM · $46.7M to $55.4M
Jul 1, 2020 to Mar 31, 2021
Non-discretionary RAUM · $23.2M to $4.4M
Jul 1, 2020 to Mar 31, 2021
Pension RAUM · $9.1M to $10.5M
Jul 1, 2020 to Mar 31, 2021
RAUM · $317M to $340M
Jul 1, 2020 to Mar 31, 2021
Accounts · 741 to 770
Mar 31, 2019 to Mar 30, 2020
Corporate clients · 1 to 2
Mar 31, 2019 to Mar 30, 2020
HNW clients · 99 to 120
Mar 31, 2019 to Mar 30, 2020
Individual clients · 119 to 129
Mar 31, 2019 to Mar 30, 2020
Pension plan clients · 10 to 8
Mar 31, 2019 to Mar 30, 2020
Assets in custody · unset to 31877363.0
Mar 31, 2019 to Mar 30, 2020
Custody of client assets · false to true
Mar 31, 2019 to Mar 30, 2020
Financial planning clients · 101-250 to 251-500
Mar 31, 2019 to Mar 30, 2020
Discretionary RAUM · $271M to $294M
Mar 31, 2019 to Mar 30, 2020
HNW RAUM · $228M to $246M
Mar 31, 2019 to Mar 30, 2020
Individual RAUM · $39.9M to $46.7M
Mar 31, 2019 to Mar 30, 2020
Non-discretionary RAUM · $22.0M to $23.2M
Mar 31, 2019 to Mar 30, 2020
Pension RAUM · $9.7M to $9.1M
Mar 31, 2019 to Mar 30, 2020
RAUM · $293M to $317M
Mar 31, 2019 to Mar 30, 2020

Signals

5 dated events

Kirk Randolph Hudson left Uas Wealth Advisors for Allworth Financial, L.P. (registered 2022-06-02)
Jun 30, 2022 · Advisor changed firm · fact
Donald Austin Mcdaniel left Uas Wealth Advisors for Allworth Financial, L.P. (registered 2022-06-02)
Jun 30, 2022 · Advisor changed firm · fact
Joseph Jacob Kopczynski left Uas Wealth Advisors for Allworth Financial, L.P. (registered 2022-06-23)
Jun 30, 2022 · Advisor changed firm · fact
Matthew David Keller left Uas Wealth Advisors for Allworth Financial, L.P. (registered 2022-06-02)
Jun 30, 2022 · Advisor changed firm · fact
Uas Wealth Advisors's advisors moved to Allworth Financial, L.P. (Albuquerque, NM): 4 of 4 registered, on the same day
Jun 30, 2022 · Firm absorbed (people side) · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

Uas Wealth Advisors is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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