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.
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SEC-registered adviser
U•••• S••••• C•••••• P•••••••• L••
Latest filing Feb 24, 2026
First filing on the tape Aug 11, 2017 · 13 filings
SEC status approved since Sep 14, 2017
RAUM
$189M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$189M as of Feb 24, 2026
Mar 7, 2018$25.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 24, 2026
Mar 7, 20180 then
Employees (5.A)2 as of Feb 24, 2026
Mar 7, 20185 then
Private funds: no history
RAUM -16% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 2026; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $189MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$189M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• G•••••• K•••• · Chief Operating Officercontrolsince 05/2017 · owns less than 5%
- H••••• M••••••• P••• · Managing Principalcontrolsince 05/2017 · owns less than 5%
- M•••••• T•••••• E•••• · Chief Executive Officercontrolsince 01/2021 · owns less than 5%
- Z••••••• M•••• K•••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
Entity owners
- U•• H•••••• C••••••• L•• · Memberdirect · owns 75% or more
- C•••••• F•••••••• C•••• · Memberindirect · owns 75% or more of U•• H•••••• C••••••• L••
Related persons
Schedule D 7.A
- C•••••• F•••••••• E••••• S• Z• O•investment advisern
- C•••••• F•••••••• E•••••• L••investment advisern
- C•••••• F•••••••• P••• L•••investment advisern
- C•••••• F•••••••• P•• L••investment advisern
- C•••••• H•••••• A•••••••• L••bankn
- C•••••• I••••••••• A•••••••• L••investment advisernRAUM $384M
- J••• F•••••••• L••broker-dealern
Advisers that list U•••• S••••• C•••••• P•••••••• L•• as a related person
- 158802 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 3, 2025 to Feb 24, 2026
- BD registered reps · 1 to 0Mar 3, 2025 to Feb 24, 2026
- Employees · 5 to 2Mar 3, 2025 to Feb 24, 2026
- Discretionary RAUM · $225M to $189MMar 3, 2025 to Feb 24, 2026
- RAUM · $225M to $189MMar 3, 2025 to Feb 24, 2026
- Accounts · 2 to 1Mar 19, 2024 to Mar 3, 2025
- Advisory employees · 3 to 2Mar 19, 2024 to Mar 3, 2025
- BD registered reps · 3 to 1Mar 19, 2024 to Mar 3, 2025
- Employees · 9 to 5Mar 19, 2024 to Mar 3, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 3, 2025
- Discretionary RAUM · $277M to $225MMar 19, 2024 to Mar 3, 2025
- RAUM · $277M to $225MMar 19, 2024 to Mar 3, 2025
- Other offices · 1 to 0Mar 15, 2023 to Mar 19, 2024
- Discretionary RAUM · $359M to $277MMar 15, 2023 to Mar 19, 2024
- RAUM · $359M to $277MMar 15, 2023 to Mar 19, 2024
- Accounts · 1 to 2Mar 22, 2022 to Mar 15, 2023
- Advisory employees · 2 to 3Mar 22, 2022 to Mar 15, 2023
- BD registered reps · 2 to 3Mar 22, 2022 to Mar 15, 2023
- Employees · 5 to 9Mar 22, 2022 to Mar 15, 2023
- Other offices · 0 to 1Mar 22, 2022 to Mar 15, 2023
- Discretionary RAUM · $126M to $359MMar 22, 2022 to Mar 15, 2023
- RAUM · $126M to $359MMar 22, 2022 to Mar 15, 2023
- BD registered reps · 3 to 2Mar 26, 2021 to Mar 22, 2022
- Discretionary RAUM · $56.8M to $126MMar 26, 2021 to Mar 22, 2022
- RAUM · $56.8M to $126MMar 26, 2021 to Mar 22, 2022
- Advisory employees · 3 to 2Mar 9, 2020 to Mar 26, 2021
- BD registered reps · 2 to 3Mar 9, 2020 to Mar 26, 2021
- Discretionary RAUM · $44.3M to $56.8MMar 9, 2020 to Mar 26, 2021
- RAUM · $44.3M to $56.8MMar 9, 2020 to Mar 26, 2021
- Discretionary RAUM · $28.4M to $44.3MFeb 22, 2019 to Mar 9, 2020
- RAUM · $28.4M to $44.3MFeb 22, 2019 to Mar 9, 2020
- Related broker-dealer · false to trueFeb 22, 2019 to Mar 9, 2020
- BD registered reps · 0 to 2Mar 16, 2018 to Feb 22, 2019
- Discretionary RAUM · $25.7M to $28.4MMar 16, 2018 to Feb 22, 2019
- RAUM · $25.7M to $28.4MMar 16, 2018 to Feb 22, 2019
- Other offices · unset to 0.0Sep 29, 2017 to Mar 7, 2018
- Discretionary RAUM · $25.0M to $25.7MSep 29, 2017 to Mar 7, 2018
- RAUM · $25.0M to $25.7MSep 29, 2017 to Mar 7, 2018
- Accounts · 0 to 1Aug 11, 2017 to Sep 29, 2017
- Discretionary RAUM · $0 to $25.0MAug 11, 2017 to Sep 29, 2017
Signals
4 dated events
- U•••• S••••• C•••••• P•••••••• L•• reported RAUM $359.0M, up 185% from $126.1M (2022-03-22 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- Timothy Stephen Grugeon (Chief Executive Officer) no longer on Schedule A of U•••• S••••• C•••••• P•••••••• L•• (listed 2020-03-09, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Edwin Thomas Miller (Chief Executive Officer) appeared on Schedule A of U•••• S••••• C•••••• P•••••••• L••Mar 26, 2021 · Control person joined · fact
- U•••• S••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 11, 2017 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/USQreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.u••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 484-731-3101reportedpublic record, Form ADV, Feb 24, 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
- Asset manager (funds and pooled vehicles)deriveda 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