UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Latest filing: Apr 03, 2025 (80 days ago)
AUM
$10,637,349,683
14% change vs. 1 year ago
35% change vs. 3 years ago
145% change vs. 5 years ago
495% change vs. 10 years ago
Employee Count
614
8% change vs. 1 year ago
6% change vs. 3 years ago
15% change vs. 5 years ago
65% change vs. 10 years ago
Main Office
SCOTTSDALE, AZ
7333 EAST DOUBLETREE RANCH RD, SUITE 120, SCOTTSDALE, AZ, UNITED STATES, 85258
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.6 |
| Non-Discretionary | $10.1 |
| Total | $10.6 |
| Client | AUM |
|---|---|
| Retail | $10.3 |
| Pooled | $0.0 |
| Institutional | $0.3 |
| Total | $10.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 22,522 | $5.8 |
| Average Individual AUM | $257,788 | |
| HNW | 4,148 | $4.5 |
| Average HNW AUM | $1,086,496 | |
| Retail Total | 26,670 | $10.3 |
| Average Retail AUM | $386,677 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $5.5 |
| FIDELITY BROKERAGE SERVICES LLC | SMITHFIELD-RI-USA | $1.1 |
| AXOS CLEARING LLC | CENTENNIAL-CO-USA | $1.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $10.6 |
| Retail SMA AUM | $10.3 |
| Institutional SMA AUM | $0.3 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 89% | $9.5 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.1 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 2% | $0.2 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 6% | $0.6 |
| Other | 2% | $0.2 |
| Total | 100% | $10.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
11 active
| Name | Title |
|---|---|
| BAKER, MICHAEL A | PRESIDENT, PRESIDENT, CHIEF EXECUTIVE OFFICE (CEO) |
| OLIVERIO, KENNETH WILLIAM JR | EXECUTIVE VICE PRESIDENT, CHIEF MARKETING OFFICER, SHAREHOLDER |
| HAUER, DAVE B | VICE PRESIDENT COMPLIANCE, CHIEF COMPLIANCE OFFICER |
| SHINDEL, CHAD TRAVIS | VICE PRESIDENT, CHIEF FINANCIAL OFFICER (CFO), TREASURER |
| CUFFARI-AGASI, SHEILA JUNE | EXECUTIVE VICE PRESIDENT, SHAREHOLDER |
ADVDB.CO • SOURCE: SEC
Representatives
345 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| AARON SEVIGNY | SCOTTSDALE | AZ | S66|2005-01-10 | ||||||
| PHILIPP BALLMAIER | SCOTTSDALE | AZ | S63|2013-08-08|S66|2014-12-11 | ||||||
| MEGAN MUCCIO | SCOTTSDALE | AZ | S63|2018-10-25|S65|2019-02-01 | ||||||
| CAROLYN INSLEY | SCOTTSDALE | AZ | S63|1992-05-06|S65|2019-08-12 | ||||||
| CHARLES HARRISON | SCOTTSDALE | AZ | S66|2014-06-26 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRISTOPHER COSENZA | SCOTTSDALE | AZ | S63|1996-04-12|S65|1999-02-18 | CERTIFIED FINANCIAL PLANNER | |||||
| ANN ZLAMAL | SCOTTSDALE | AZ | S63|1997-07-15|S66|2008-09-04 | ||||||
| JORDAN RETHMAN | SCOTTSDALE | AZ | S66|2022-11-11 | ||||||
| DAVID EDGERTON | SCOTTSDALE | AZ | S63|1985-08-28 | CHARTERED FINANCIAL CONSULTANT | |||||
| RYAN GARRISON | SCOTTSDALE | AZ | S66|2012-09-21 | ||||||
| JONATHAN LUDEMAN | SCOTTSDALE | AZ | S66|2005-04-08 | CERTIFIED FINANCIAL PLANNER | |||||
| LEE STOERZINGER | SCOTTSDALE | AZ | S63|1993-03-10|S65|1999-12-28 | CERTIFIED FINANCIAL PLANNER | |||||
| MARTA AMATON | SCOTTSDALE | AZ | S63|2000-04-04|S65|2007-11-03 | ||||||
| DAVID JUNG | SCOTTSDALE | AZ | S63|1993-02-02|S65|1999-12-09 | CERTIFIED FINANCIAL PLANNER | |||||
| KAMRON KIMBALL | SCOTTSDALE | AZ | S63|2005-08-02|S65|2017-08-08 | ||||||
| ROSS COCHRELL | SCOTTSDALE | AZ | S63|2008-07-21|S66|2009-12-29 | ||||||
| ERIC MUNKEBY | SCOTTSDALE | AZ | S63|1991-02-25|S65|1996-10-21|S66|2008-06-30 | ||||||
| KIMBERLY JOHNSON | SCOTTSDALE | AZ | S63|1998-11-05|S65|1999-05-26 | ||||||
| ROBERT MABE | SCOTTSDALE | AZ | S63|1994-12-16|S65|2006-05-26 | ||||||
| AARON VETTRAINO | SCOTTSDALE | AZ | S63|2013-09-06|S66|2023-09-29 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $10.6 | $0.0 | 0% | 614 | 0 | 0% |
| 2025-04-21 | $10.6 | $0.0 | 0% | 614 | 0 | 0% |
| 2024-04-02 | $9.3 | $1.3 | 14% | 570 | 44 | 8% |
| 2023-04-04 | $6.1 | $4.6 | 75% | 567 | 47 | 8% |
| 2022-04-01 | $7.9 | $2.8 | 35% | 581 | 33 | 6% |
| 2021-04-05 | $6.0 | $4.7 | 79% | 552 | 62 | 11% |
| 2020-04-01 | $4.3 | $6.3 | 145% | 533 | 81 | 15% |
| 2019-04-01 | $3.2 | $7.4 | 232% | 515 | 99 | 19% |
| 2018-04-02 | $2.8 | $7.8 | 277% | 442 | 172 | 39% |
| 2017-04-01 | $2.4 | $8.3 | 347% | 430 | 184 | 43% |
| 2016-04-01 | $1.8 | $8.8 | 489% | 389 | 225 | 58% |
| 2015-04-01 | $1.8 | $8.9 | 495% | 373 | 241 | 65% |
| 2014-04-01 | $1.2 | $9.5 | 799% | 338 | 276 | 82% |
| 2013-04-01 | $1.1 | $9.5 | 853% | 330 | 284 | 86% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| AZ, AK-02/10/2005, AL-01/09/2002, AR-01/26/2007, AZ-05/23/2005, CA-03/01/2000, CO-01/02/2002, CT-11/08/2006, DC-01/24/2007, DE-08/27/2003, FL-02/10/1995, GA-01/09/2002, HI-06/18/2003, IA-01/25/2007, ID-05/23/2005, IL-08/26/1998, IN-05/13/1996, KS-02/10/2005, KY-03/03/2003, LA-01/06/2003, MA-01/19/2006, MD-03/09/2000, ME-03/06/1996, MI-02/08/2002, MN-01/03/1995, MO-08/25/2003, MS-01/24/2007, MT-05/23/2005, NC-01/09/2002, ND-01/24/2007, NE-11/16/2006, NH-12/07/2006, NJ-06/27/2002, NM-06/26/2001, NV-04/06/2000, NY-07/06/2001, OH-03/23/2000, OK-01/06/2003, OR-07/11/2001, PA-11/21/2002, RI-03/06/2000, SC-03/23/2001, SD-07/19/2000, TN-01/01/2001, TX-04/19/1988, UT-02/22/2000, VA-08/21/2001, VI-03/30/2016, VT-01/24/2007, WA-03/01/2000, WI-05/10/2001, WV-05/23/2005, WY-03/29/2019 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV