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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

U••••• A••••••• S•••••••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 150080SEC 801-70104IAPD
Latest filing Oct 21, 2020
First filing on the tape Apr 2, 2012 · 36 filings
RAUM
$663M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$663M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
19 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$663M as of Jan 30, 2020
Apr 2, 2012$64.4M then
HNW client RAUM$374M as of Jan 30, 2020
Apr 1, 2018$419M then
State-registered IARs (5.B.3)19 as of Jan 30, 2020
Apr 2, 20120 then
Employees (5.A)20 as of Jan 30, 2020
Apr 1, 20135 then
Private funds: no history
RAUM +14% over the last fiscal year+20% a year over threeIARs 19 to 19
Practice profile
derived from the filing of Oct 21, 2020; every figure names its basis
RAUM per advisor
$34.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.7MderivedHNW RAUM over HNW clients
Average account
$294,410derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
2.4derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$374M56%
  • Individuals$289M44%
Individual clients
1,015reported
HNW clients
66reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,252reported
Financial planning clients
26-50reported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••• M•••• H•••••• · Membercontrol
    since 02/2004 · owns 75% or more of U••••• A••••••• C••••••, LLC
  • S••••••• J•••••• A••• · Chief Compliance Officer And Chief Operating Officer
    since 03/2016 · owns less than 5%
Entity owners
  • U••••• A••••••• C•••••• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list U••••• A••••••• S•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Dayton, OH4 employees
  • State College, PA2 employees
  • Buffalo, NY2 employees
  • , 1 employees
  • Sharon, PA1 employees
  • Dorset, VT1 employees
  • Warren, PA1 employees
What changed
consecutive filings, newest first
  • HQ city · NEW YORK to BOCA RATON
    Jun 30, 2020 to Oct 21, 2020
  • HQ state · NY to FL
    Jun 30, 2020 to Oct 21, 2020
  • Accounts · 2,600 to 2,252
    Mar 29, 2019 to Jan 30, 2020
  • BD registered reps · 6 to 7
    Mar 29, 2019 to Jan 30, 2020
  • HNW clients · 58 to 66
    Mar 29, 2019 to Jan 30, 2020
  • Individual clients · 1,068 to 1,015
    Mar 29, 2019 to Jan 30, 2020
  • Employees · 26 to 20
    Mar 29, 2019 to Jan 30, 2020
  • Discretionary RAUM · $553M to $631M
    Mar 29, 2019 to Jan 30, 2020
  • HNW RAUM · $302M to $374M
    Mar 29, 2019 to Jan 30, 2020
  • Individual RAUM · $279M to $289M
    Mar 29, 2019 to Jan 30, 2020
  • Non-discretionary RAUM · $27.5M to $32.1M
    Mar 29, 2019 to Jan 30, 2020
  • RAUM · $581M to $663M
    Mar 29, 2019 to Jan 30, 2020
  • Accounts · 1,757 to 2,600
    Apr 1, 2018 to Mar 29, 2019
  • Advisory employees · 16 to 19
    Apr 1, 2018 to Mar 29, 2019
  • BD registered reps · 2 to 6
    Apr 1, 2018 to Mar 29, 2019
  • HNW clients · 63 to 58
    Apr 1, 2018 to Mar 29, 2019
  • Individual clients · 644 to 1,068
    Apr 1, 2018 to Mar 29, 2019
  • Employees · 18 to 26
    Apr 1, 2018 to Mar 29, 2019
  • State-registered IARs · 16 to 19
    Apr 1, 2018 to Mar 29, 2019
  • Discretionary RAUM · $627M to $553M
    Apr 1, 2018 to Mar 29, 2019
  • HNW RAUM · $419M to $302M
    Apr 1, 2018 to Mar 29, 2019
  • Individual RAUM · $231M to $279M
    Apr 1, 2018 to Mar 29, 2019
  • Non-discretionary RAUM · $23.5M to $27.5M
    Apr 1, 2018 to Mar 29, 2019
  • RAUM · $651M to $581M
    Apr 1, 2018 to Mar 29, 2019
  • Advisory employees · 14 to 16
    Nov 30, 2017 to Apr 1, 2018
  • Accounts · 898 to 1,757
    Nov 30, 2017 to Apr 1, 2018
  • HNW clients · unset to 63.0
    Nov 30, 2017 to Apr 1, 2018
  • Individual clients · unset to 644.0
    Nov 30, 2017 to Apr 1, 2018
  • Employees · 16 to 18
    Nov 30, 2017 to Apr 1, 2018
  • State-registered IARs · 14 to 16
    Nov 30, 2017 to Apr 1, 2018
  • Discretionary RAUM · $365M to $627M
    Nov 30, 2017 to Apr 1, 2018
  • HNW RAUM · unset to 419300000.0
    Nov 30, 2017 to Apr 1, 2018
  • Individual RAUM · unset to 231434000.0
    Nov 30, 2017 to Apr 1, 2018
  • Non-discretionary RAUM · $14.5M to $23.5M
    Nov 30, 2017 to Apr 1, 2018
  • RAUM · $380M to $651M
    Nov 30, 2017 to Apr 1, 2018
  • Other offices · unset to 7.0
    Jul 13, 2017 to Nov 30, 2017
  • Discretionary RAUM · $14.5M to $365M
    Jun 22, 2017 to Jul 13, 2017
  • Non-discretionary RAUM · $365M to $14.5M
    Jun 22, 2017 to Jul 13, 2017
  • Accounts · 884 to 898
    Mar 30, 2016 to Mar 31, 2017
  • Advisory employees · 11 to 14
    Mar 30, 2016 to Mar 31, 2017
Signals
1 dated events
  • U••••• A••••••• S•••••••• L•• reported RAUM $650.7M, up 71% from $379.7M (2017-11-30 to 2018-04-01)
    Apr 1, 2018 · RAUM change · 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