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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Former SEC-registered adviser

U••••• H•••••••• I•••

Former SEC-registered adviserNorth Hollywood, CaliforniaCRD 294806SEC 801-112946IAPD
Legal name U••••• H•••••••• L••
Latest filing Mar 20, 2020
First filing on the tape Mar 25, 2018 · 8 filings
RAUM
$156,060
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$156,060 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$156,060 as of Mar 20, 2020
Mar 25, 2018$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2020
Mar 25, 20180 then
Employees (5.A)4 as of Mar 20, 2020
Mar 25, 20182 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 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
unknownderivedHNW RAUM over HNW clients
Average account
$385derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$156,060100%
Individual clients
351reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
405reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
fixedreported
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
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
    • Y•••••• K••••• · Chief Executive Officercontrol
      since 03/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Legal name · U••••• H•••••••• I••• to U••••• H•••••••• L••
      Mar 10, 2020 to Mar 20, 2020
    • Business name · U••••• to U••••• H•••••••• I•••
      Dec 3, 2019 to Mar 10, 2020
    • Legal name · U••••• HOLDINGS LLC to U••••• H•••••••• I•••
      Dec 3, 2019 to Mar 10, 2020
    • Succession · true to false
      Dec 3, 2019 to Mar 10, 2020
    • Accounts · 213 to 405
      Jul 13, 2019 to Dec 3, 2019
    • Individual clients · 130 to 351
      Jul 13, 2019 to Dec 3, 2019
    • Employees · 1 to 4
      Jul 13, 2019 to Dec 3, 2019
    • HQ city · BURBANK to NORTH HOLLYWOOD
      Jul 13, 2019 to Dec 3, 2019
    • Organization form · Limited Liability Company to Corporation
      Jul 13, 2019 to Dec 3, 2019
    • Individual RAUM · $84,456 to $156,060
      Jul 13, 2019 to Dec 3, 2019
    • Non-discretionary RAUM · $84,456 to $156,060
      Jul 13, 2019 to Dec 3, 2019
    • RAUM · $84,456 to $156,060
      Jul 13, 2019 to Dec 3, 2019
    • Succession · false to true
      Jul 13, 2019 to Dec 3, 2019
    • Accounts · 158 to 213
      Mar 4, 2019 to Jul 13, 2019
    • Individual RAUM · $30,000 to $84,456
      Mar 4, 2019 to Jul 13, 2019
    • Non-discretionary RAUM · $30,000 to $84,456
      Mar 4, 2019 to Jul 13, 2019
    • RAUM · $30,000 to $84,456
      Mar 4, 2019 to Jul 13, 2019
    • Accounts · 0 to 158
      Jul 23, 2018 to Mar 4, 2019
    • Individual clients · 0 to 130
      Jul 23, 2018 to Mar 4, 2019
    • Employees · 2 to 1
      Jul 23, 2018 to Mar 4, 2019
    • Financial planning clients · 0 to 101-250
      Jul 23, 2018 to Mar 4, 2019
    • Individual RAUM · unset to 30000.0
      Jul 23, 2018 to Mar 4, 2019
    • Non-discretionary RAUM · $0 to $30,000
      Jul 23, 2018 to Mar 4, 2019
    • RAUM · $0 to $30,000
      Jul 23, 2018 to Mar 4, 2019
    Signals
    2 dated events
    • U-Nest reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Dec 3, 2019 · Succession (Item 4) · fact
    • U-Nest filed its initial SEC registration (Form ADV)
      Mar 25, 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.
    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