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 Capital Financial Advisors

Independent wealth managerIrving, TexasCRD 134600SEC 801-64376website IAPD

Legal name United Capital Financial Advisors, LLC

Latest filing Jun 15, 2026

First filing on the tape Dec 9, 2011 · 59 filings

SEC status approved since Jun 9, 2005

RAUM

$25B

reported, Item 5.F

Discretionary

91%

of RAUM

Private clients

84%

$21B individuals and HNW

Advisors

164

registered through the firm on IAPD

RAUM per advisor

$150M

derived; firm RAUM over IAPD count

Employees

289

162 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

59 filings and snapshots on the tape

RAUM$25B as of Jun 15, 2026

Mar 30, 2012$5.6B then

HNW client RAUM$11B as of Jun 15, 2026

Mar 29, 2018$13B then

State-registered IARs (5.B.3)162 as of Jun 15, 2026

Apr 1, 2013134 then

Employees (5.A)289 as of Jun 15, 2026

Apr 1, 2013301 then

Private funds: no history

RAUM +43% over the last fiscal year+23% a year over threeIARs 138 to 162offices 41 to 46

Practice profile

derived from the filing of Jun 15, 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
Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $150MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 151derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.7MderivedHNW RAUM over HNW clients
Average account: $546,419derivedRAUM over accounts (5.F.2.f)
Discretionary: 91%derivedof RAUM
Institutional: 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 3.5derived47 offices incl. principal (1.F.5)
RAUM growth, one year: +43%derivedbetween the last two annual amendments
Advisor growth, one year: +17%derivedItem 5.B.3 between annual amendments
Client growth, one year: +11%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 advisers, publications, educational seminars, otherreportedItem 5.G
Financial planning clients: 1,341reportedItem 5.H
Wrap fee program: $176MreportedItem 5.I
Custody: $5.3B, 4,338 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 1derivedhalf or more of a firm's advisors moved here within 14 days
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$11B45%
Individuals$9.6B39%
Corporations and businesses$1.8B7.3%
Pension and profit-sharing plans$1.2B4.7%
Other investment advisers$669M2.7%
Charitable organizations$407M1.7%

Individual clients: 22,900reported
HNW clients: 1,937reported
Pension plan clients: 223reported
Charitable clients: 114reported
Accounts: 45,106reported
Financial planning clients: 1,341reported
Wrap fee programs: $176M sponsored, $18.5M managedreported
Custody of client assets: $5.3B for 4,338 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.84 fund_share=0.03 institutional_share=0.06 related_bd=false related_bank=false bd_reps=26.0derived

Advisors registered through the firm

164 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
William Lee Swearingen	Irving, Tx	Dec 5, 2007	38 y	4
Chris Badciong	Memphis, Tn	Sep 9, 2010	18 y	1
Carl Christopher Mcdonald	Memphis, Tn	Sep 9, 2010	39 y	2
Virginia BrewerCertified Financial Planner	Memphis, Tn	Sep 9, 2010	17 y	1
Craig Michael JaffeCertified Financial Planner	Boca Raton, Fl	Aug 2, 2011	19 y	1
Jennifer Celeste Linkous	Memphis, Tn	May 18, 2012	15 y	0
Gary MitchellChartered Financial Analyst	Seattle, Wa	Dec 19, 2012	40 y	2
Catherine Elizabeth Burns HumbertCertified Financial Planner, Chartered Financial Analyst	Seattle, Wa	Dec 19, 2012	21 y	1
Shari Jene BurnsChartered Financial Analyst	Seattle, Wa	Dec 19, 2012	35 y	2
Sandra Lee Fey-Sutton	Seattle, Wa	Dec 19, 2012	40 y	1
Jason Paul BremerChartered Financial Analyst	Seattle, Wa	Dec 19, 2012	22 y	1
Valerie Jean Hurst	Modesto, Ca	Mar 25, 2013	26 y	0
Daphne C HuCertified Financial Planner	North Wales, Pa	May 31, 2013	15 y	1
Joseph Adam MorganCertified Financial Planner	Reston, Va	Jul 1, 2013	19 y	2
Seth David Goldberg	Scottsdale, Az	Jan 2, 2014	40 y	1
Jakob W MarringaChartered Financial Analyst	Chicago, Il	Jan 27, 2014	24 y	1
Heather Lee Ankstitus	North Dighton, Ma	Jun 16, 2014	12 y	1
Stephen Douglas BauerCertified Financial Planner	The Woodlands, Tx	Dec 5, 2014	18 y	2
Charles M HaynorChartered Financial Analyst	Larkspur, Ca	Dec 10, 2014	33 y	1
Elizabeth SchwinghammerChartered Financial Analyst	Greenwood Village, Co	Jan 23, 2015	20 y	1
Brian Michael McdowellChartered Financial Analyst	Greenwood Village, Co	Jan 23, 2015	26 y	2
Terri Bolden WardCertified Financial Planner	Brentwood, Tn	Feb 5, 2015	28 y	3
Brian David MelvinCertified Financial Planner	Indianapolis, In	Mar 27, 2015	22 y	1
Ryan Roller	Indianapolis, In	Mar 27, 2015	14 y	1
Sara Elisabeth PradaCertified Financial Planner	Albuquerque, Nm	May 15, 2015	12 y	1
Eric HutchinsonCertified Financial Planner, Chartered Financial Consultant	Little Rock, Ar	May 15, 2015	40 y	1
Duane W Wimer	Indianapolis, In	May 15, 2015	24 y	3
Garth David ScrivnerCertified Financial Planner	Albuquerque, Nm	May 15, 2015	22 y	2
Timothy Michael LongCertified Financial Planner	Little Rock, Ar	May 15, 2015	25 y	4
Paul Joseph MessiterCertified Financial Planner	Ann Arbor, Mi	May 18, 2015	34 y	2
Brian FrackCertified Financial Planner	Larkspur, Ca	May 19, 2015	12 y	1
Patricia A Angelozzi	North Wales, Pa	May 26, 2015	15 y	0
Steven Louis PayneCertified Financial Planner	San Diego, Ca	Jul 20, 2015	36 y	1
Quinn Matthew McelweeCertified Financial Planner	Fort Collins, Co	Aug 4, 2015	21 y	2
Trudy TurnerCertified Financial Planner, Personal Financial Specialist	Irving, Tx	Sep 8, 2015	23 y	2
Diana Elizabeth Hallas	Carnegie, Pa	Oct 30, 2015	11 y	3
Regis Edward RuaneCertified Financial Planner	Carnegie, Pa	Oct 30, 2015	42 y	4
Kenneth Jeffrey Hanna	Carnegie, Pa	Oct 30, 2015	20 y	8
John Patrick Abriola	Carnegie, Pa	Oct 30, 2015	41 y	4
Andrew Scott Wolf	Modesto, Ca	Oct 30, 2015	13 y	0

All 164 advisors at United Capital Financial Advisors

Advisor movement

5 left, 20 joined in 12 months

net +15 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 3.0% of current headcount185 left over 36 months

Left, latest

Grant Holloschutz to Allworth Financial, L.P.
Aug 26, 2026 · RIA to affiliated broker-dealer or bank
Mckenzie J Lannon to T. Rowe Price Advisory Services, Inc.
Apr 30, 2026 · RIA to affiliated broker-dealer or bank
Reid Pratt Guthrie to Avidian Wealth Solutions
Apr 16, 2026 · RIA to RIA
Christopher C Browne to Morgan Stanley
Apr 1, 2026 · RIA to wirehouse
Andrew Larkin Caples to Cerity Partners LLC
Feb 23, 2026 · RIA to RIA
Christopher Douglas Battreall to Girard Securities, Inc.
May 20, 2025 · Other
Lacy Geil Mulroy to Mobile Bay Wealth Management, LLC
Mar 18, 2025 · RIA to a state-registered adviser
William Hugh Kelly to Girard Securities, Inc.
Dec 31, 2024 · Other
Bruce Steamer to Raymond James Financial Services Advisors, Inc
Dec 9, 2024 · RIA to affiliated broker-dealer or bank
Matthew Haddock to Commonwealth Financial Network
Oct 16, 2024 · RIA to affiliated broker-dealer or bank
David Thomas Rivkin to Creative Planning
Jul 24, 2024 · RIA to RIA
Justin A. Travis to Sowell Management
Jul 9, 2024 · RIA to RIA
Jordan Dimiter Stefanov to Gds Wealth Management
May 8, 2024 · RIA to RIA
Rian Dana Waterman to Farther
May 8, 2024 · RIA to RIA
Hafiz B. Shekh to Global Retirement Partners LLC
May 8, 2024 · Other

Joined, latest

James Dugan from Alliancebernstein L.P.
Apr 8, 2026 · Other
Ryan Matthew Mcdonald from Willis Johnson Wealth
Apr 6, 2026 · RIA to RIA
Alif Karowadia from Fisher Investments
Apr 2, 2026 · RIA to RIA
Tyler C Clark from Morgan Stanley
Mar 10, 2026 · Wirehouse to independent RIA
Sherise Lanay Steele from Cetera Investment Advisers LLC
Dec 26, 2025 · Affiliated broker-dealer or bank to independent RIA
Timothy Alan Groebl from Onedigital
Dec 19, 2025 · Other
Richard Joseph Groebl from Onedigital
Dec 19, 2025 · Other
Arnold J Civins from Apexium Financial LP
Dec 10, 2025 · RIA to RIA
Richard Thomas Rivera from Dick Rivera & Associates
Dec 4, 2025 · Other
Alan Harry Mandeloff from Apexium Financial LP
Dec 3, 2025 · RIA to RIA
Julia Kay Whitley from Dick Rivera & Associates
Dec 3, 2025 · Other
Robert Thomas Brown from Apexium Financial LP
Dec 3, 2025 · RIA to RIA
Jillian Marie Dragone from Alliancebernstein L.P.
Nov 26, 2025 · Other
Matthew Anthony Marcello from Apexium Financial LP
Nov 26, 2025 · RIA to RIA
Cory Michael Chmelka from Soundwatch Capital, LLC
Nov 26, 2025 · Other

Every departure Every arrival

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

6 left for Goldman Sachs Wealth Services, L.P.
Nov 17, 2023 · Miami, Fl
4 left for Goldman Sachs Wealth Services, L.P.
Nov 17, 2023 · New York, Ny
2 left for Goldman Sachs Wealth Services, L.P.
Nov 17, 2023 · Irving, Tx
3 left for Jpl Wealth Management, LLC
Nov 9, 2023 · Denver, Co
4 left for Kestra Private Wealth Services, LLC
Nov 3, 2023 · Plano, Tx
3 left for Traveka Wealth, LLC
Nov 3, 2023 · Menlo Park, Ca
3 left for Decisionmap Wealth Management, LLC
Nov 3, 2023 · Great Falls, Va
4 left for Goldman Sachs Wealth Services, L.P.
Nov 2, 2023 · Westport, Ct

2 joined from Dick Rivera & Associates
Mar 30, 2026 · Pensacola Beach, Fl
2 joined from Onedigital
Jan 7, 2026 · Leawood, Ks
5 joined from Apexium Financial LP
Dec 4, 2025 · Dallas, Tx · Firm absorbed
2 joined from Morgan Stanley
Aug 25, 2025 · Los Angeles, Ca
2 joined from Morgan Stanley
Aug 25, 2025 · Essex, Ct
2 joined from Goldman Sachs Wealth Services, L.P.
Nov 16, 2023 · Cohoes, Ny
2 joined from Goldman Sachs Wealth Services, L.P.
Jan 5, 2023 · Cohoes, Ny
2 joined from Vanguard Advisers, Inc.
May 6, 2022 · Scottsdale, Az

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Leann Sonja Larimore · Chief Compliance Officercontrol
since 11/2023 · owns less than 5%
Michael Brian Mcdowell · Chief Investment Officercontrol
since 09/2025 · owns less than 5%
Arthur Robert Mlenek · Chief Financial Officercontrol
since 11/2023 · owns less than 5%
Francis James Rivers · Presidentcontrol
since 11/2023 · owns less than 5%
Wayne Franklin Salb · Chief Investment Officercontrol
since 11/2023 · owns less than 5%
Johan Melroy Saldanha · Chief Technology Officercontrol
since 11/2023 · owns less than 5%
George Alexander Mallouk · Trusteecontrol
since 01/2014 · owns F of Mjg Irrevocable Trust Dtd 01/01/2014
Alex Peter Mallouk · Trusteecontrol
since 07/2002 · owns F of Peter Mallouk Trust Dtd 07/17/2002
David Jonathan Seiler · Head Of Operations
since 11/2023 · owns less than 5%

Entity owners

United Capital Financial Partners, · Sole Member
direct · owns 75% or more
United Capital Financial Partners, LLC · Sole Member And Manager
direct · owns 75% or more
Cpi Holdco A, LLC · Sole Member
indirect · owns 75% or more of Cpi Holdco B, LLC
Cpi Holdco B, LLC · Sole Member
indirect · owns 75% or more of United Capital Financial Partners, LLC
Creative Planning (Cpi) Holdco, Inc. · Member
indirect · owns 75% or more of Creative Planning Holdco, LLC
Creative Planning Holdco, LLC · Sole Member
indirect · owns 75% or more of Cpi Holdco A, LLC
Mjg Irrevocable Trust Dtd 01/01/2014 · Stockholder
indirect · owns 25% to 50% of Creative Planning (Cpi) Holdco, Inc.
Peter Mallouk Trust Dtd 07/17/2002 · Stockholder
indirect · owns 50% to 75% of Creative Planning (Cpi) Holdco, Inc.

Related persons

Schedule D 7.A

Cp Strategic Advisors, LLC
insurancen
Creative Planning Business Accounting Services, LLC
insurancen
Creative Planning Insurance, LLC
real estaten
Creative Planning Legal, P.A.
n
Creative Planning Lending, LLC
n
Creative Planning Payroll, LLC
insurancen
Creative Planning Risk Management, LLC
real estaten
Creative Planning Tax, LLC
insurancen
Creative Planning Tpa, LLC
insurancen
Creative Planning Trust Company, LLC
n
Creative Planning
investment advisernRAUM $296B
United Capital Risk Management, LLC
real estatey

Advisers that list United Capital Financial Advisors as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left
Irving, Tx · principal	19	14	1
Seattle, Wa	10	0	0
Memphis, Tn	6	0	0
Fort Collins, Co	6	1	0
The Woodlands, Tx	6	1	1
Charlotte, Nc	5	0	0
Newport Beach, Ca	5	0	0
Atlanta, Ga	5	1	0
Indianapolis, In	5	1	0
Brentwood, Tn	4	2	0
Los Angeles, Ca	4	0	0
Carnegie, Pa	4	0	0
Fort Lauderdale, Fl	4	0	0
San Diego, Ca	4	0	0
Greenwood Village, Co	4	1	0
Larkspur, Ca	4	1	0
Reston, Va	4	0	1
Boca Raton, Fl	4	1	0
New York, Ny	3	2	0
Albuquerque, Nm	3	0	0

All 60 offices

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 6 since 2015, 1 in 24 monthsderived
Advisors acquired: 22derived
Still registered after 90 days: 95% of 22derived
After 180 days: 95% of 22derived
After 365 days: 82% of 17derived
After 730 days: 82% of 17derived
Team lift-outs after: 4derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Seattle, WA8 employees
The Woodlands, TX7 employees
Irvine, CA6 employees
Memphis, TN6 employees
Fort Collins, CO5 employees
Pittsburgh, PA5 employees
Modesto, CA5 employees
Indianapolis, IN4 employees
Holyoke, MA4 employees
Langhorne, PA4 employees
San Diego, CA4 employees
Charlotte, NC4 employees
Great Falls, VA4 employees
Bethpage, NY3 employees
Boca Raton, FL3 employees
Evansville, IN3 employees
Fort Lauderdale, FL3 employees
Greenwood Village, CO3 employees
Little Rock, AR3 employees
Moline, IL3 employees
Palm Desert, CA3 employees
Scottsdale, AZ3 employees
Buffalo, NY2 employees
Anderson, SC2 employees
Elkhart, IN2 employees

ADV anomalies

5 against comparable advisers; where to look, not conclusions

control person changedChange between filings · filing Jun 15, 2026
MCDOWELL, BRIAN, MICHAEL (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2023-11-06 and 2026-06-15
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Jun 15, 2026
MALLOUK, PETER, ALEX (TRUSTEE) left Schedule A between the filings of 2023-11-06 and 2026-06-15
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Jun 15, 2026
SALB, FRANKLIN, WAYNE (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2023-11-06 and 2026-06-15
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Jun 15, 2026
SALDANHA, MELROY, JOHAN (CHIEF TECHNOLOGY OFFICER) left Schedule A between the filings of 2023-11-06 and 2026-06-15
peers: independent wealth managers, $20B and over (84)
control person changedChange between filings · filing Jun 15, 2026
MALLOUK, ALEXANDER, GEORGE (TRUSTEE) left Schedule A between the filings of 2023-11-06 and 2026-06-15
peers: independent wealth managers, $20B and over (84)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 41,738 to 45,106
Oct 2, 2025 to Mar 31, 2026
Advisory employees · 138 to 162
Oct 2, 2025 to Mar 31, 2026
Charity clients · 42 to 114
Oct 2, 2025 to Mar 31, 2026
Corporate clients · 223 to 331
Oct 2, 2025 to Mar 31, 2026
HNW clients · 1,300 to 1,937
Oct 2, 2025 to Mar 31, 2026
Individual clients · 21,115 to 22,900
Oct 2, 2025 to Mar 31, 2026
Pension plan clients · 145 to 223
Oct 2, 2025 to Mar 31, 2026
Assets in custody · $4.3B to $5.3B
Oct 2, 2025 to Mar 31, 2026
Employees · 271 to 289
Oct 2, 2025 to Mar 31, 2026
State-registered IARs · 138 to 162
Oct 2, 2025 to Mar 31, 2026
Other offices · 41 to 46
Oct 2, 2025 to Mar 31, 2026
Discretionary RAUM · $16B to $22B
Oct 2, 2025 to Mar 31, 2026
HNW RAUM · $6.3B to $11B
Oct 2, 2025 to Mar 31, 2026
Individual RAUM · $8.3B to $9.6B
Oct 2, 2025 to Mar 31, 2026
Non-discretionary RAUM · $825M to $2.1B
Oct 2, 2025 to Mar 31, 2026
Pension RAUM · $308M to $1.2B
Oct 2, 2025 to Mar 31, 2026
RAUM · $17B to $25B
Oct 2, 2025 to Mar 31, 2026
Wrap assets (manager) · $16.0M to $18.5M
Oct 2, 2025 to Mar 31, 2026
Wrap assets (sponsor) · $317M to $176M
Oct 2, 2025 to Mar 31, 2026
Financial planning clients · More than 500 to More than 500
Mar 28, 2025 to Jun 10, 2025
Accounts · 49,991 to 41,738
Sep 17, 2024 to Mar 28, 2025
Advisory employees · 147 to 138
Sep 17, 2024 to Mar 28, 2025
Charity clients · 141 to 42
Sep 17, 2024 to Mar 28, 2025
Corporate clients · 324 to 223
Sep 17, 2024 to Mar 28, 2025
HNW clients · 3,168 to 1,300
Sep 17, 2024 to Mar 28, 2025
Individual clients · 28,246 to 21,115
Sep 17, 2024 to Mar 28, 2025
Pension plan clients · 164 to 145
Sep 17, 2024 to Mar 28, 2025
Assets in custody · $3.8B to $4.3B
Sep 17, 2024 to Mar 28, 2025
Employees · 288 to 271
Sep 17, 2024 to Mar 28, 2025
Insurance-licensed employees · 1 to 0
Sep 17, 2024 to Mar 28, 2025
State-registered IARs · 147 to 138
Sep 17, 2024 to Mar 28, 2025
Other offices · 40 to 41
Sep 17, 2024 to Mar 28, 2025
Discretionary RAUM · $17B to $16B
Sep 17, 2024 to Mar 28, 2025
HNW RAUM · $8.4B to $6.3B
Sep 17, 2024 to Mar 28, 2025
Individual RAUM · $6.4B to $8.3B
Sep 17, 2024 to Mar 28, 2025
Non-discretionary RAUM · $932M to $825M
Sep 17, 2024 to Mar 28, 2025
Pension RAUM · $322M to $308M
Sep 17, 2024 to Mar 28, 2025
RAUM · $18B to $17B
Sep 17, 2024 to Mar 28, 2025
Wrap assets (manager) · $114M to $16.0M
Sep 17, 2024 to Mar 28, 2025
Wrap assets (sponsor) · $472M to $317M
Sep 17, 2024 to Mar 28, 2025

Signals

60 dated events

Grant Holloschutz left United Capital Financial Advisors for Allworth Financial, L.P. (registered 2026-09-16)
Aug 26, 2026 · Advisor changed firm · fact
Mckenzie J Lannon left United Capital Financial Advisors for T. Rowe Price Advisory Services, Inc. (registered 2026-06-11)
Apr 30, 2026 · Advisor changed firm · fact
Reid Pratt Guthrie left United Capital Financial Advisors for Avidian Wealth Solutions (registered 2026-03-10)
Apr 16, 2026 · Advisor changed firm · fact
Christopher C Browne left United Capital Financial Advisors for Morgan Stanley (registered 2026-04-06)
Apr 1, 2026 · Advisor changed firm · fact
United Capital Financial Advisors reported RAUM $24.6B, up 43% from $17.2B (2025-10-02 to 2026-03-31)
Mar 31, 2026 · RAUM change · derived
United Capital Financial Advisors reported 46 offices beyond its principal office, up from 41 (2025-10-02 to 2026-03-31)
Mar 31, 2026 · Office count change · derived
2 advisors left Dick Rivera & Associates (Pensacola Beach, FL) for United Capital Financial Advisors on the same day
Mar 30, 2026 · Team lift-out · derived
Andrew Larkin Caples left United Capital Financial Advisors for Cerity Partners Llc (registered 2026-03-04)
Feb 23, 2026 · Advisor changed firm · fact
2 advisors left Onedigital (Leawood, KS) for United Capital Financial Advisors on the same day
Jan 7, 2026 · Team lift-out · derived
Apexium Financial LP's advisors moved to United Capital Financial Advisors (Dallas, TX): 5 of 9 registered, on the same day
Dec 4, 2025 · Firm absorbed (people side) · derived
2 advisors left Morgan Stanley (Los Angeles, CA) for United Capital Financial Advisors on the same day
Aug 25, 2025 · Team lift-out · derived
2 advisors left Morgan Stanley (Essex, CT) for United Capital Financial Advisors on the same day
Aug 25, 2025 · Team lift-out · derived
Christopher Douglas Battreall left United Capital Financial Advisors for Girard Securities, Inc. (registered 2008-04-16)
May 20, 2025 · Advisor changed firm · fact
Lacy Geil Mulroy left United Capital Financial Advisors for Mobile Bay Wealth Management, Llc (registered 2025-09-24)
Mar 18, 2025 · Advisor changed firm · fact
William Hugh Kelly left United Capital Financial Advisors for Girard Securities, Inc. (registered 2016-02-09)
Dec 31, 2024 · Advisor changed firm · fact
Bruce Steamer left United Capital Financial Advisors for Raymond James Financial Services Advisors, Inc (registered 2025-01-15)
Dec 9, 2024 · Advisor changed firm · fact
Matthew Haddock left United Capital Financial Advisors for Commonwealth Financial Network (registered 2024-09-13)
Oct 16, 2024 · Advisor changed firm · fact
David Thomas Rivkin left United Capital Financial Advisors for Creative Planning (registered 2023-11-03)
Jul 24, 2024 · Advisor changed firm · fact
Justin A. Travis left United Capital Financial Advisors for Sowell Management (registered 2024-07-19)
Jul 9, 2024 · Advisor changed firm · fact
United Capital Financial Advisors reported 42 offices beyond its principal office, down from 47 (2024-03-29 to 2024-07-01)
Jul 1, 2024 · Office count change · derived
Jordan Dimiter Stefanov left United Capital Financial Advisors for Gds Wealth Management (registered 2024-05-23)
May 8, 2024 · Advisor changed firm · fact
Hafiz B. Shekh left United Capital Financial Advisors for Global Retirement Partners Llc (registered 2024-05-02)
May 8, 2024 · Advisor changed firm · fact
Jaeden Alexander Cruz left United Capital Financial Advisors for Presilium Private Wealth, Llc (registered 2026-03-20)
May 8, 2024 · Advisor changed firm · fact
Christina Edland Gumm left United Capital Financial Advisors for Cibc Private Wealth Advisors, Inc. (registered 2024-05-09)
May 8, 2024 · Advisor changed firm · fact
Rian Dana Waterman left United Capital Financial Advisors for Farther (registered 2024-04-09)
May 8, 2024 · Advisor changed firm · fact
Trevar Richard Brown left United Capital Financial Advisors for Goldman Sachs Wealth Services, L.P. (registered 2025-01-01)
Apr 16, 2024 · Advisor changed firm · fact
United Capital Financial Advisors reported RAUM $17.7B, up 34% from $13.2B (2023-11-07 to 2024-03-29)
Mar 29, 2024 · RAUM change · derived
Ronald Lee Folwell left United Capital Financial Advisors for Raymond James Financial Services Advisors, Inc (registered 2024-08-21)
Mar 13, 2024 · Advisor changed firm · fact
Nahal Sabbagh Kermani left United Capital Financial Advisors for Apollon Wealth Management, Llc (registered 2024-05-14)
Feb 21, 2024 · Advisor changed firm · fact
Craig Jones left United Capital Financial Advisors for Osaic Wealth, Inc. (registered 2024-10-18)
Feb 15, 2024 · Advisor changed firm · fact

Across DFX

shared identifiers only, never a name match

Goldman Sachs Personal Financial Management · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Business phone: 800-796-3315reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/united-capital-financial-advisors/?viewreportedpublic record, Form ADV, Sep 17, 2026
Website: unitedcapitalwealth.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 972-822-2055reportedpublic record, Form ADV, Jun 15, 2026
Contact form: unitedcapitalwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page: unitedcapitalwealth.com/leadershipreportedpublished by the firm, firm site, Sep 15, 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: $150Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026