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UNITED CAPITAL FINANCIAL ADVISERS
UNITED CAPITAL FINANCIAL ADVISERS (CRD# 134600) is an SEC-Registered Investment Advisor (RIA), headquartered in Newport Beach, CA. The SEC approved the firm to operate as an RIA in Jun 2005. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $22.1 Billion, with discretion over 97% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
UNITED CAPITAL FINANCIAL ADVISERS also reported in Mar 2019
  • 671 employees, with 332 performing advisory functions.
  • A total of 87 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
UNITED CAPITAL FINANCIAL ADVISERS has one or more disclosure events currently on file with the SEC.
 

View UNITED CAPITAL FINANCIAL ADVISERS's most recent Form ADV filing
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UNITED CAPITAL FINANCIAL ADVISERS has Notice Filings with the following State Securities Authorities: AK-Aug 2007, AL-Aug 2007, AR-Jul 2006, AZ-Nov 2005, CA-Jun 2005 , CO-Nov 2005, CT-Jun 2006, DC-Oct 2005, DE-Oct 2005, FL-Jun 2005 , GA-Nov 2005, HI-Nov 2005, IA-Sep 2006, ID-Nov 2005, IL-Jul 2006 , IN-Mar 2007, KS-Jul 2006, KY-Feb 2007, LA-Mar 2007, MA-Jun 2006 , MD-Oct 2005, ME-Aug 2007, MI-Jun 2006, MN-Jul 2006, MO-Aug 2007 , MS-Aug 2007, MT-Sep 2006, NC-Jun 2006, ND-Aug 2007, NE-Aug 2007 , NH-Sep 2006, NJ-Jul 2006, NM-Nov 2005, NV-Nov 2005, NY-Jun 2006 , OH-Jun 2006, OK-Dec 2006, OR-Nov 2005, PA-Oct 2005, RI-Aug 2007 , SC-Jun 2006, SD-Sep 2007, TN-Jul 2006, TX-Jun 2005, UT-Aug 2007 , VA-Oct 2005, VT-Aug 2007, WA-Nov 2005, WI-Jun 2006, WV-Aug 2007 , WY-Mar 2018


Disclaimer: 
The information presented above was gleaned from the SEC website and is believed to be accurate.  FindingFraud.org is presenting this data for informational purposes only and assumes no responsibility for errors or omissions.  Please note that we are aware of many instances where RIAs provided erroneous data to the SEC.  Feel free to contact FindingFraud.org with questions or concerns.


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