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

United Wealth Planning, LLC

Former SEC-registered adviserGarden City, New YorkCRD 238787SEC 801-106716IAPD
Latest filing Jun 26, 2020
First filing on the tape Sep 24, 2015 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Feb 21, 2020
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 21, 2020
Mar 28, 20160 then
Employees (5.A)3 as of Feb 21, 2020
Mar 28, 20164 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$0derivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planningreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
2reported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Payne Kathryn Beller · Chief Compliance Officercontrol
        since 05/2015 · owns less than 5%
      • Lee Delorenzo · President And Managercontrol
        since 05/2015 · owns 75% or more
      Related persons
      Schedule D 7.A
      • Kathryn Payne Beller
        investment companyy
      • United Asset Strategies Inc.
        investment advisernRAUM $2.2B
      • United Financial Group, Ltd.
        real estaten
      • United Retirement Consultants, Inc.
        LP sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 1 to 0
        Mar 10, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 10, 2017 to Mar 28, 2018
      • HNW clients · unset to 2.0
        Mar 10, 2017 to Mar 28, 2018
      • Individual clients · unset to 2.0
        Mar 10, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 10, 2017 to Mar 28, 2018
      • Employees · 4 to 3
        Mar 10, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 10, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Mar 10, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 10, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 10, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 10, 2017 to Mar 28, 2018
      • Financial planning clients · 0 to 1-10
        Mar 29, 2016 to Mar 8, 2017
      Signals
      1 dated events
      • United Wealth Planning, Llc filed its initial SEC registration (Form ADV)
        Sep 24, 2015 · 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.
      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