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 Advisors America

Independent wealth managerProsper, TexasCRD 147350SEC 801-114134website IAPD

Legal name United Advisors America Corporation

Latest filing Aug 13, 2026

First filing on the tape Sep 14, 2018 · 24 filings

SEC status approved since Oct 12, 2018

RAUM

$447M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

100%

$447M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$21.3M

derived; firm RAUM over IAPD count

Employees

24 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$447M as of Aug 13, 2026

Jan 10, 2019$48.5M then

HNW client RAUM$94.2M as of Aug 13, 2026

Mar 16, 2020$20.2M then

State-registered IARs (5.B.3)24 as of Aug 13, 2026

Jan 10, 201923 then

Employees (5.A)28 as of Aug 13, 2026

Jan 10, 201923 then

Private funds: no history

RAUM +26% over the last fiscal year+32% a year over threeIARs 22 to 24

Practice profile

derived from the filing of Aug 13, 2026; every figure names its basis

Archetypes, each a printed rule

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
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: $21.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 134derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $158,957derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 21.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +26%derivedbetween the last two annual amendments
Advisor growth, one year: +9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year: +60%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody: $4.2M, 12 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)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$352M79%
High-net-worth individuals$94.2M21%

Individual clients: 2,752reported
HNW clients: 57reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2,809reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $4.2M for 12 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

21 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
Michael Brandon Cooper	Prosper, Tx	Jan 26, 2009	29 y	0
Richard Lynn FollettChartered Financial Consultant	Prosper, Tx	Mar 27, 2009	30 y	0
Aubrey Marie Paganelli	Prosper, Tx	Jan 28, 2013	15 y	0
Daniel John Baxter	Platteville, Wi	Apr 5, 2017	11 y	0
William Troy Huff	Prosper, Tx	Jun 7, 2017	11 y	0
Brian C Lamone	Kansas City, Mo	Mar 13, 2018	22 y	3
Michael Patrick DoughertyChartered Financial Consultant	Prosper, Tx	Oct 17, 2018	42 y	0
Glen Allen Fuller	Prosper, Tx	Feb 4, 2019	15 y	0
Lucien Eugene Craig	Fulshear, Tx	Jun 20, 2019	38 y	6
Alan Lloyd Carlson	Prosper, Tx	Jul 3, 2019	30 y	1
Thomas Allen Barten	Bloomington, Mn	Jun 9, 2021	15 y	2
Leslie Lyle Pincombe	Prosper, Tx	Jul 27, 2021	28 y	2
Matthew Craig Canton	Prosper, Tx	Sep 10, 2021	10 y	1
Derek Douglas JohnsonCertified Financial Planner	Lansing, Mi	Jul 11, 2023	36 y	0
Dalton James Matkovich	Kronenwetter, Wi	Apr 15, 2024	10 y	0
Gregory Jay Pitts	Owasso, Ok	May 20, 2024	36 y	1
Vincent Albert Vantassel	Three Rivers, Mi	Jan 1, 2025	31 y	1
Anthony Louis Ackerman	Sugar Land, Tx	Feb 21, 2025	19 y	7
Dominic Bruce Cooper	Prosper, Tx	Aug 5, 2025	11 y	0
Austin Michael Sorem	Prosper, Tx	Aug 12, 2025	11 y	0
Jonathan T Dunlea	Chelmsford, Ma	Sep 9, 2026	22 y	3

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount7 left over 36 months

Left, latest

Kevin Charles Mahony to D.L. Fields Advisory Group, LLC
Jan 15, 2025 · RIA to a state-registered adviser
Scott Allen Waechter to Osaic Wealth, Inc.
Dec 16, 2024 · RIA to affiliated broker-dealer or bank
Jaclyn Kate Johnson to Advice And Planning Services
Dec 6, 2024 · RIA to affiliated broker-dealer or bank
Teresa Robin Lundine to Stronghold Capital Partners LLC
Nov 13, 2024 · RIA to a state-registered adviser
Jennifer Aguirre to Foundations Investment Advisors LLC
Oct 4, 2024 · RIA to RIA
Charles Bryon Eastes to Strategic Wealth Advisors Group, Inc.
Sep 24, 2024 · RIA to RIA
Hamid R Clark to Brookstone Wealth Advisors, LLC
Nov 30, 2023 · Other
Aristotle Lyon Mcdonald to Virtue Capital Management, LLC
Jun 6, 2023 · RIA to RIA
James Jeffrey Proctor to Gradient Advisors, LLC
Aug 15, 2022 · RIA to RIA
Marissa C Vandenberg to Wells Fargo Advisors
Dec 15, 2021 · RIA to wirehouse
Aaron Keith Ulrich to Pruco Securities, LLC
Jan 14, 2021 · RIA to affiliated broker-dealer or bank
Kenneth Busch to Edward Jones
Jul 7, 2020 · RIA to affiliated broker-dealer or bank
Jeremy Green to Ae Wealth Management, LLC
May 13, 2019 · RIA to affiliated broker-dealer or bank
Timothy Ray Whisler to Simplicity Wealth
Jan 17, 2019 · RIA to a newly registered adviser
Stuart Henderson to Packerland Brokerage Services, Inc.
Jun 19, 2018 · RIA to RIA

Joined, latest

Jonathan T Dunlea from Citizens Securities, Inc.
Sep 9, 2026 · Affiliated broker-dealer or bank to independent RIA
Anthony Louis Ackerman from Pyxis Capital Inc.
Feb 21, 2025 · Other
Vincent Albert Vantassel from Creative Financial Designs, Inc.
Jan 1, 2025 · Other
Jennifer Aguirre from Outlook Wealth Advisors, LLC
Sep 26, 2024 · RIA to RIA
Scott Allen Waechter from Fsb Premier Wealth Management, Inc.
Jun 7, 2024 · RIA to RIA
Gregory Jay Pitts from Eagle Financial Advisors, LLC
May 20, 2024 · RIA to RIA
Aristotle Lyon Mcdonald from Valic Financial Advisors, Inc.
Dec 19, 2022 · Affiliated broker-dealer or bank to independent RIA
Matthew Craig Canton from Edward Jones
Sep 10, 2021 · Affiliated broker-dealer or bank to independent RIA
Marissa C Vandenberg from Raymond James Financial Services Advisors, Inc
Aug 11, 2021 · Affiliated broker-dealer or bank to independent RIA
Leslie Lyle Pincombe from Fifth Third Securities, Inc.
Jul 27, 2021 · Other
Thomas Allen Barten from U.S. Bancorp Investments, Inc.
Jun 9, 2021 · Affiliated broker-dealer or bank to independent RIA
Teresa Robin Lundine from Capital Analysts
Jun 3, 2021 · Affiliated broker-dealer or bank to independent RIA
Aaron Keith Ulrich from Mercurio Wealth Advisors
Oct 6, 2020 · RIA to RIA
Kenneth Busch from First Advisors National, LLC
Feb 16, 2020 · RIA to RIA
Jaclyn Kate Johnson from Td Ameritrade, Inc.
Sep 12, 2019 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Salvatore Vincent Ammirato · Chief Compliance Officercontrol
since 01/2023 · owns less than 5%
Lynn Richard Follett · Presidentcontrol
since 07/2015 · owns less than 5%
Marie Aubrey Paganelli · Chief Operating Officercontrol
since 05/2022 · owns less than 5%
Kevin James Boyles · Membercontrol
since 07/2008 · owns 25% to 50% of Follett Financial Holdings, LLC
R Beau Follett · Membercontrol
since 07/2008 · owns 25% to 50% of Follett Financial Holdings, LLC
L Richard Follett · Membercontrol
since 07/2008 · owns 25% to 50% of Follett Financial Holdings, LLC
Lynn Richard Follett · Managing Membercontrol
since 07/2008 · owns 25% to 50% of Follett Financial Holdings, LLC

Entity owners

Follett Financial Holdings, LLC · Direct Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

Alliance America Corporation
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Prosper, Tx · principal	17	0	0
Humble, Tx	0	0	0
Mcdonough, Ga	0	0	0
Mukwonago, Wi	0	0	0
New Vienna, Oh	0	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

client count surgeChange between filings · filing Mar 31, 2026
individual and HNW clients (Item 5.D) moved from 1,751.0 to 2,809.0 (+60.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +3.0% (3310 comparable advisers, 98.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,310) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2,625 to 2,809
Jun 30, 2025 to Mar 31, 2026
Advisory employees · 22 to 24
Jun 30, 2025 to Mar 31, 2026
HNW clients · 61 to 57
Jun 30, 2025 to Mar 31, 2026
Individual clients · 1,690 to 2,752
Jun 30, 2025 to Mar 31, 2026
Assets in custody · $3.2M to $4.2M
Jun 30, 2025 to Mar 31, 2026
Employees · 25 to 28
Jun 30, 2025 to Mar 31, 2026
State-registered IARs · 22 to 24
Jun 30, 2025 to Mar 31, 2026
Discretionary RAUM · $340M to $434M
Jun 30, 2025 to Mar 31, 2026
HNW RAUM · $93.9M to $94.2M
Jun 30, 2025 to Mar 31, 2026
Individual RAUM · $260M to $352M
Jun 30, 2025 to Mar 31, 2026
Non-discretionary RAUM · $13.9M to $12.2M
Jun 30, 2025 to Mar 31, 2026
RAUM · $354M to $447M
Jun 30, 2025 to Mar 31, 2026
Assets in custody · unset to 3227241.0
Mar 31, 2025 to Jun 30, 2025
Custody of client assets · false to true
Mar 31, 2025 to Jun 30, 2025
Financial planning clients · 0 to 0
Mar 31, 2025 to Jun 30, 2025
Accounts · 2,249 to 2,625
May 17, 2024 to Mar 31, 2025
Advisory employees · 26 to 22
May 17, 2024 to Mar 31, 2025
HNW clients · 60 to 61
May 17, 2024 to Mar 31, 2025
Individual clients · 1,678 to 1,690
May 17, 2024 to Mar 31, 2025
Employees · 27 to 25
May 17, 2024 to Mar 31, 2025
Financial planning clients · 1-10 to 0
May 17, 2024 to Mar 31, 2025
State-registered IARs · 26 to 22
May 17, 2024 to Mar 31, 2025
Discretionary RAUM · $246M to $340M
May 17, 2024 to Mar 31, 2025
HNW RAUM · $71.0M to $93.9M
May 17, 2024 to Mar 31, 2025
Individual RAUM · $189M to $260M
May 17, 2024 to Mar 31, 2025
Non-discretionary RAUM · $13.9M to $13.9M
May 17, 2024 to Mar 31, 2025
RAUM · $260M to $354M
May 17, 2024 to Mar 31, 2025
Accounts · 1,893 to 2,249
Mar 22, 2023 to Mar 15, 2024
Advisory employees · 27 to 26
Mar 22, 2023 to Mar 15, 2024
HNW clients · 58 to 60
Mar 22, 2023 to Mar 15, 2024
Individual clients · 1,417 to 1,678
Mar 22, 2023 to Mar 15, 2024
Employees · 28 to 27
Mar 22, 2023 to Mar 15, 2024
State-registered IARs · 27 to 26
Mar 22, 2023 to Mar 15, 2024
Discretionary RAUM · $180M to $246M
Mar 22, 2023 to Mar 15, 2024
HNW RAUM · $46.9M to $71.0M
Mar 22, 2023 to Mar 15, 2024
Individual RAUM · $147M to $189M
Mar 22, 2023 to Mar 15, 2024
Non-discretionary RAUM · $13.8M to $13.9M
Mar 22, 2023 to Mar 15, 2024
RAUM · $194M to $260M
Mar 22, 2023 to Mar 15, 2024
Accounts · 1,554 to 1,893
Feb 22, 2023 to Mar 22, 2023
Advisory employees · 29 to 27
Feb 22, 2023 to Mar 22, 2023

Signals

21 dated events

Kevin Charles Mahony left United Advisors America for D.L. Fields Advisory Group, Llc (registered 2025-03-03)
Jan 15, 2025 · Advisor changed firm · fact
Scott Allen Waechter left United Advisors America for Osaic Wealth, Inc. (registered 2026-05-19)
Dec 16, 2024 · Advisor changed firm · fact
Jaclyn Kate Johnson left United Advisors America for Advice And Planning Services (registered 2026-04-27)
Dec 6, 2024 · Advisor changed firm · fact
Teresa Robin Lundine left United Advisors America for Stronghold Capital Partners Llc (registered 2025-02-13)
Nov 13, 2024 · Advisor changed firm · fact
Jennifer Aguirre left United Advisors America for Foundations Investment Advisors Llc (registered 2024-12-16)
Oct 4, 2024 · Advisor changed firm · fact
Charles Bryon Eastes left United Advisors America for Strategic Wealth Advisors Group, Inc. (registered 2024-12-04)
Sep 24, 2024 · Advisor changed firm · fact
Hamid R Clark left United Advisors America for Brookstone Wealth Advisors, Llc (registered 2023-11-30)
Nov 30, 2023 · Advisor changed firm · fact
Aristotle Lyon Mcdonald left United Advisors America for Virtue Capital Management, Llc (registered 2024-04-17)
Jun 6, 2023 · Advisor changed firm · fact
Salvatore Vincent Ammirato (Chief Compliance Officer) appeared on Schedule A of United Advisors America
Jan 5, 2023 · Control person joined · fact
James Jeffrey Proctor left United Advisors America for Gradient Advisors, Llc (registered 2022-09-13)
Aug 15, 2022 · Advisor changed firm · fact
Barton Price Peddicord (Chief Compliance Officer) no longer on Schedule A of United Advisors America (listed 2022-03-25, absent 2022-05-04)
May 4, 2022 · Control person left · inference
Barton Price Peddicord (Chief Compliance Officer) appeared on Schedule A of United Advisors America
Jan 28, 2021 · Control person joined · fact
L Richard Follett (Member) appeared on Schedule A of United Advisors America
Jan 28, 2021 · Control person joined · fact
Kevin James Boyles (Member) appeared on Schedule A of United Advisors America
Jan 28, 2021 · Control person joined · fact
R Beau Follett (Member) appeared on Schedule A of United Advisors America
Jan 28, 2021 · Control person joined · fact
United Advisors America reported 0 offices beyond its principal office, down from 5 (2019-10-03 to 2020-03-16)
Mar 16, 2020 · Office count change · derived
Marie Aubrey Paganelli (Chief Compliance Officer) appeared on Schedule A of United Advisors America
Oct 3, 2019 · Control person joined · fact
R Beau Follett (Member) no longer on Schedule A of United Advisors America (listed 2019-01-21, absent 2019-10-03)
Oct 3, 2019 · Control person left · inference
L Richard Follett (Member) no longer on Schedule A of United Advisors America (listed 2019-01-21, absent 2019-10-03)
Oct 3, 2019 · Control person left · inference
Kevin James Boyles (Member) no longer on Schedule A of United Advisors America (listed 2019-01-21, absent 2019-10-03)
Oct 3, 2019 · Control person left · inference
United Advisors America Corporation filed its initial SEC registration (Form ADV)
Sep 14, 2018 · First SEC registration · 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 phone: 877-443-0610reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile: linkedin.com/company/united-advisors-americareportedpublic record, Form ADV, Sep 17, 2026
Website: UNITEDADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone: 877-443-0610reportedpublic record, Form ADV, Aug 13, 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: $21.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026