United Capital Financial Advisors, Llc
SEC-registered
Wealth Manager · Large ($10B–$100B)
CRD 134600
· SEC file 801-64376
· Irving, TX
· www.facebook.com
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ADV data as of Jun 15, 2026
- Regulatory AUM
- $24.6B
- Discretionary
- $22.5B
- Clients
- 25,510
- Avg AUM / client
- $966K
- Accounts
- 45,106
- Employees
- 289
AUM over time
$4.1B
$29.5B
Dec 2011
Jun 2026
Annual snapshots from Form ADV filings · as of Jun 15, 2026
Asset allocation (SMA assets by investment type)
as of Jun 15, 2026
Registered investment companies (funds/ETFs)
$13.3B
54%
Exchange-traded equities
$7.6B
31%
State & local bonds
$1.2B
5%
Investment-grade corporate bonds
$986M
4%
US government & agency bonds
$739M
3%
Cash & equivalents
$493M
2%
Pooled investment vehicles
$246M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 22,900 | $9.6B | 38.9% |
| High net worth individuals | 1,937 | $11.0B | 44.7% |
| Pension and profit sharing plans | 223 | $1.2B | 4.71% |
| Charitable organizations | 114 | $407M | 1.65% |
| Other investment advisers | 5 | $669M | 2.71% |
| Corporations and other businesses | 331 | $1.8B | 7.3% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Tropical Financial Credit Union 401(k) Profit Sharing Plan Tropical Financial Credit Union | 2024 | |
| United Data Technologies, 401(k) Retirement Plan United Data Technologies, Inc. | 2024 | |
| State Utility Contractors, Inc. 401(k) Profit Sharing Plan State Utility Contractors, Inc. | 2024 | |
| Selma Medical Assoc Inc 401 K Profit Sharing Plan Selma Medical Associates, Inc. | 2024 | |
| J.F. Edwards Construction Co. 401(k) P/S Plan J.F. Edwards Construction | 2024 | |
| Fine Art Lamps 401(k) Plan Gq Investments, Llc | 2024 | |
| Smith, Gambrell & Russell, Llp 401(k) Retirement Plan Smith, Gambrell & Russell, Llp | 2024 | |
| Jillamy, Inc 401(k) Profit Sharing Plan Jillamy, Inc | 2024 | |
| Atg Retirement Savings Plan Aerospace Technologies Group, Inc. | 2024 |
People (173)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Peter Alex Mallouk | Trustee | Jul 2002 (24y) | GP / trustee / elected manager of Peter Mallouk Trust Dtd 07/17/2002 (indirect) | |
| Mallouk, Alexander, George | Trustee | Jan 2014 (13y) | GP / trustee / elected manager of Mjg Irrevocable Trust Dtd 01/01/2014 (indirect) | |
| James Francis Rivers | President | Oct 2020 (6y) | Less than 5% | |
| Larimore, Sonja, Leann | Chief Compliance Officer | Nov 2023 (3y) | Less than 5% | |
| Mlenek, Robert, Arthur | Chief Financial Officer | Nov 2023 (3y) | Less than 5% | |
| Salb, Franklin, Wayne | Chief Investment Officer | Nov 2023 (3y) | Less than 5% | |
| Saldanha, Melroy, Johan | Chief Technology Officer | Nov 2023 (3y) | Less than 5% | |
| Seiler, Jonathan, David | Head Of Operations | Nov 2023 (3y) | Less than 5% | |
| William Lee Swearingen | Registered representative | Dec 2007 (19y) | ||
| Janet L Christiansen | Registered representative | Oct 2009 (17y) | ||
| Carl Christopher Mcdonald | Registered representative | Sep 2010 (16y) | ||
| Chris Badciong | Registered representative | Sep 2010 (16y) | ||
| Virginia Brewer | Registered representative | CFP | Sep 2010 (16y) | |
| Craig Michael Jaffe | Registered representative | CFP | Aug 2011 (15y) | |
| Jennifer Celeste Linkous | Registered representative | May 2012 (14y) | ||
| Catherine Elizabeth Burns Humbert | Registered representative | CFP CFA | Dec 2012 (14y) | |
| Gary Mitchell | Registered representative | CFA | Dec 2012 (14y) | |
| Jason Paul Bremer | Registered representative | CFA | Dec 2012 (14y) | |
| Sandra Lee Fey Sutton | Registered representative | Dec 2012 (14y) | ||
| Shari Jene Burns | Registered representative | CFA | Dec 2012 (14y) | |
| Valerie Jean Hurst | Registered representative | Mar 2013 (13y) | ||
| Daphne C Hu | Registered representative | CFP | May 2013 (13y) | |
| Joseph Adam Morgan | Registered representative | CFP | Jul 2013 (13y) | |
| Seth David Goldberg | Registered representative | Jan 2014 (13y) | ||
| Jakob W Marringa | Registered representative | CFA | Jan 2014 (13y) | |
| Heather Lee Ankstitus | Registered representative | Jun 2014 (12y) | ||
| Stephen Douglas Bauer | Registered representative | CFP | Dec 2014 (12y) | |
| Charles M Haynor | Registered representative | CFA | Dec 2014 (12y) | |
| Brian Michael Mcdowell | Registered representative | CFA | Jan 2015 (12y) | |
| Elizabeth Schwinghammer | Registered representative | CFA | Jan 2015 (12y) | |
| Terri Bolden Ward | Registered representative | CFP | Feb 2015 (11y) | |
| Brian David Melvin | Registered representative | CFP | Mar 2015 (11y) | |
| Ryan Roller | Registered representative | Mar 2015 (11y) | ||
| Duane W Wimer | Registered representative | May 2015 (11y) | ||
| Eric Hutchinson | Registered representative | CFP Chartered Financial Consultant | May 2015 (11y) | |
| Garth David Scrivner | Registered representative | CFP | May 2015 (11y) | |
| Sara Elisabeth Prada | Registered representative | CFP | May 2015 (11y) | |
| Timothy Michael Long | Registered representative | CFP | May 2015 (11y) | |
| Paul Joseph Messiter | Registered representative | CFP | May 2015 (11y) | |
| Brian Frack | Registered representative | CFP | May 2015 (11y) | |
| Patricia A Angelozzi | Registered representative | May 2015 (11y) | ||
| Steven Louis Payne | Registered representative | CFP | Jul 2015 (11y) | |
| Quinn Matthew Mcelwee | Registered representative | CFP | Aug 2015 (11y) | |
| Trudy Turner | Registered representative | CFP Personal Financial Specialist | Sep 2015 (11y) | |
| Andrew Scott Wolf | Registered representative | Oct 2015 (11y) | ||
| Diana Elizabeth Hallas | Registered representative | Oct 2015 (11y) | ||
| John Patrick Abriola | Registered representative | Oct 2015 (11y) | ||
| Kenneth Jeffrey Hanna | Registered representative | Oct 2015 (11y) | ||
| Regis Edward Ruane | Registered representative | CFP | Oct 2015 (11y) | |
| Brian Leo Levy | Registered representative | CFP | Dec 2015 (11y) | |
| David Isaac Essay | Registered representative | CFP | Mar 2016 (10y) | |
| Julia Marie Connell | Registered representative | CFP | Apr 2016 (10y) | |
| Jack Andrew Weisenbach | Registered representative | CFP | Jun 2016 (10y) | |
| Tiffany Ann Gordon | Registered representative | Sep 2016 (10y) | ||
| James B Olmore | Registered representative | CFP | Oct 2016 (10y) | |
| Dana Ann Underwood | Registered representative | Nov 2016 (10y) | ||
| Rachel Hall | Registered representative | Apr 2017 (9y) | ||
| Erik Gordon Jensen | Registered representative | CFP | Jun 2017 (9y) | |
| Deborah Arlene Dehoff | Registered representative | CFP | Jul 2017 (9y) | |
| John William Mckissick | Registered representative | CFP | Jul 2017 (9y) | |
| Christopher Villegas | Registered representative | Aug 2017 (9y) | ||
| Richard Wayne Matcham | Registered representative | Aug 2017 (9y) | ||
| Nathan Perry Moore | Registered representative | CFP Chartered Financial Consultant | Dec 2017 (9y) | |
| Terry Prather | Registered representative | CFP Chartered Financial Consultant | Dec 2017 (9y) | |
| Joshua Richard Meziere | Registered representative | Apr 2018 (8y) | ||
| Samuel A Schlesinger | Registered representative | CFP | Jun 2018 (8y) | |
| Joshua Williams | Registered representative | CFP | Jun 2018 (8y) | |
| William Walker | Registered representative | CFP Chartered Financial Consultant | Jun 2018 (8y) | |
| Michael Edward Mader | Registered representative | Jul 2018 (8y) | ||
| Mary Lauren Santini | Registered representative | Aug 2018 (8y) | ||
| Connor Mc Lean | Registered representative | Jan 2019 (8y) | ||
| Christopher Robert Stagg | Registered representative | CFP | Feb 2019 (7y) | |
| Daniel Scott Kates | Registered representative | Mar 2019 (7y) | ||
| Anthony C Carpita | Registered representative | CFP | Mar 2019 (7y) | |
| Theodore Jason Baker | Registered representative | Mar 2019 (7y) | ||
| Wesley Aaron French | Registered representative | Mar 2019 (7y) | ||
| Mark Stancil | Registered representative | CFA | Apr 2019 (7y) | |
| James Joseph Piangozza | Registered representative | CFP CFA | May 2019 (7y) | |
| Michael Deutsch | Registered representative | CFP | May 2019 (7y) | |
| Michael David Meyers | Registered representative | CFP | Jun 2019 (7y) | |
| Harrison Blake Powell | Registered representative | CFP | Aug 2019 (7y) | |
| Michael Alan Jeans | Registered representative | CFP | Oct 2019 (7y) | |
| Ryan W Bergmann | Registered representative | CFP | Nov 2019 (7y) | |
| Alexander Mark Supplee | Registered representative | CFP | Feb 2020 (6y) | |
| Raymond Key | Registered representative | Oct 2020 (6y) | ||
| Ryan Ingram | Registered representative | CFP CFA | Dec 2020 (6y) | |
| Chahati Lani Fern Lancaster | Registered representative | CFP | Jan 2021 (6y) | |
| Kara Nicole Farrow | Registered representative | Feb 2021 (6y) | ||
| Jared William Schmidt | Registered representative | CFP | Feb 2021 (5y) | |
| Julie Hanson | Registered representative | Mar 2021 (5y) | ||
| Duncan Cliff Porter | Registered representative | Mar 2021 (5y) | ||
| Rand Kendrick Gordon | Registered representative | CFP | Mar 2021 (5y) | |
| Mary Schanzlin | Registered representative | CFP | Mar 2021 (5y) | |
| Peter J Grogan | Registered representative | CFP | Mar 2021 (5y) | |
| Thomas Ketchin Mcdonald | Registered representative | Mar 2021 (5y) | ||
| Patricia R Vitale | Registered representative | Mar 2021 (5y) | ||
| Gregory Alton Abell | Registered representative | Apr 2021 (5y) | ||
| John Andrew Capets | Registered representative | May 2021 (5y) | ||
| Jared Copeland | Registered representative | Jul 2021 (5y) | ||
| Jonathan Ian Graham | Registered representative | Feb 2022 (4y) | ||
| Jonathan Michael Mertens | Registered representative | Apr 2022 (4y) | ||
| Michael James Diotalevi | Registered representative | Apr 2022 (4y) | ||
| Christian Harris Tant | Registered representative | Chartered Financial Consultant | May 2022 (4y) | |
| Chloe E Berentsen | Registered representative | Jul 2022 (4y) | ||
| Dexter Robi Conner | Registered representative | Aug 2022 (4y) | ||
| Reid Sherman Miles | Registered representative | CFP | Sep 2022 (4y) | |
| Michael J Ortiz | Registered representative | CFP | Jan 2023 (4y) | |
| Javier Gerardo Madrid | Registered representative | May 2023 (3y) | ||
| Joseph Benson | Registered representative | Feb 2024 (2y) | ||
| Charles Thomas York | Registered representative | CFP CFA | Mar 2024 (2y) | |
| Edwin Sze | Registered representative | Mar 2024 (2y) | ||
| Timothy Joseph Brothers | Registered representative | Mar 2024 (2y) | ||
| Andrew Donald Frey | Registered representative | CFA | Apr 2024 (2y) | |
| Jacob Genens | Registered representative | Apr 2024 (2y) | ||
| John Michael Trent | Registered representative | CFP | Apr 2024 (2y) | |
| Adam Tyler Nelson | Registered representative | CFP CFA | Apr 2024 (2y) | |
| Nour Alhafar | Registered representative | CFP | May 2024 (2y) | |
| Grant Gotham Holloschutz | Registered representative | May 2024 (2y) | ||
| Angela Denice Sanders | Registered representative | Jun 2024 (2y) | ||
| Joshua D Durant | Registered representative | Jun 2024 (2y) | ||
| Melissa Renee Evans | Registered representative | Sep 2024 (2y) | ||
| Anthony James Andolino | Registered representative | Jan 2025 (2y) | ||
| Morgan J Wam | Registered representative | Jan 2025 (2y) | ||
| Nichole Marie Horton | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) | |
| Stacy Marlene Paradise | Registered representative | Jan 2025 (2y) | ||
| Benjamin English | Registered representative | Jan 2025 (2y) | ||
| Konrad Brown | Registered representative | Jan 2025 (2y) | ||
| Ryan Walter Rogalski | Registered representative | Jan 2025 (2y) | ||
| Stacey L Zwicker | Registered representative | Jan 2025 (2y) | ||
| Kathleen Hogan Fanelli | Registered representative | CFP | Jan 2025 (2y) | |
| William Hugh Kelly | Registered representative | Jan 2025 (2y) | ||
| Jacob Hood | Registered representative | Mar 2025 (1y) | ||
| Seungho Hong | Registered representative | Jul 2025 (1y) | ||
| Nicholas Dominick Macri | Registered representative | Jul 2025 (1y) | ||
| Garrett Thomas Beckstrom | Registered representative | CFP | Aug 2025 (1y) | |
| Daniel Matthew Gabler | Registered representative | Aug 2025 (1y) | ||
| Geoffrey Scott Paul | Registered representative | Aug 2025 (1y) | ||
| James Laurence Rehfeld | Registered representative | Aug 2025 (1y) | ||
| Michael Alexander Benjamin Ufkes | Registered representative | Aug 2025 (1y) | ||
| Stephanie Arnold | Registered representative | Sep 2025 (1y) | ||
| Jordan Dimiter Stefanov | Registered representative | Oct 2025 (1y) | ||
| Kristin Howe | Registered representative | Oct 2025 (1y) | ||
| Charles Collins Sommer | Registered representative | Oct 2025 (1y) | ||
| Sean Donald Fellin | Registered representative | Nov 2025 (1y) | ||
| Lauren Flemen | Registered representative | CFP | Nov 2025 (1y) | |
| Laurie Samay | Registered representative | CFP | Nov 2025 (1y) | |
| Mark Nicholas Pittelkau | Registered representative | CFP | Nov 2025 (1y) | |
| Thomas Bridges Dickey | Registered representative | CFP | Nov 2025 (1y) | |
| Cory Michael Chmelka | Registered representative | CFP | Nov 2025 (1y) | |
| David Joseph Pilaitis | Registered representative | CFP | Nov 2025 (1y) | |
| Jillian Marie Dragone | Registered representative | CFA | Nov 2025 (1y) | |
| Matthew Anthony Marcello | Registered representative | CFP | Nov 2025 (1y) | |
| Alan Harry Mandeloff | Registered representative | CFP | Dec 2025 (1y) | |
| Julia Kay Whitley | Registered representative | Dec 2025 (1y) | ||
| Robert Thomas Brown | Registered representative | CFP | Dec 2025 (1y) | |
| Todd Jay Mcdonald | Registered representative | CFA | Dec 2025 (1y) | |
| Richard Thomas Rivera | Registered representative | CFP | Dec 2025 (1y) | |
| Arnold J Civins | Registered representative | Dec 2025 (1y) | ||
| Richard Joseph Groebl | Registered representative | Dec 2025 (1y) | ||
| Timothy Alan Groebl | Registered representative | Dec 2025 (1y) | ||
| Sherise Lanay Steele | Registered representative | Dec 2025 (1y) | ||
| Zainur Rahman | Registered representative | Jan 2026 (1y) | ||
| Matthew Versage | Registered representative | CFP | Jan 2026 (1y) | |
| Kiley A Johansen | Registered representative | CFP | Jan 2026 (1y) | |
| Aaron Loomis | Registered representative | Feb 2026 (0y) | ||
| Tyler C Clark | Registered representative | Mar 2026 (0y) | ||
| Frank Mazzuca | Registered representative | Mar 2026 (0y) | ||
| Alif Karowadia | Registered representative | Apr 2026 (0y) | ||
| Ryan Matthew Mcdonald | Registered representative | Apr 2026 (0y) | ||
| James Dugan | Registered representative | Apr 2026 (0y) | ||
| Pamela Thomas Alexander | Registered representative | Apr 2026 (0y) | ||
| Wyatt Lee Carpenter | Registered representative | May 2026 (0y) | ||
| John Francis Rehak | Registered representative | CFP | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| United Capital Financial Partners, Llc | Sole Member And Manager | Nov 2004 | A | 75% or more |
| Cpi Holdco B, Llc | Sole Member | Nov 2023 | B | ≈ 56.25% – 100% via United Capital Financial Partners, Llc |
| Cpi Holdco A, Llc | Sole Member | Nov 2023 | B | ≈ 42.19% – 100% via Cpi Holdco B, Llc |
| Creative Planning Holdco, Llc | Sole Member | Nov 2023 | B | ≈ 31.64% – 100% via Cpi Holdco A, Llc |
| Creative Planning (Cpi) Holdco, Inc. | Member | Nov 2023 | B | ≈ 23.73% – 100% via Creative Planning Holdco, Llc |
| Peter Mallouk Trust Dtd 07/17/2002 | Stockholder | Nov 2023 | B | ≈ 11.87% – 75% via Creative Planning (Cpi) Holdco, Inc. |
| Mjg Irrevocable Trust Dtd 01/01/2014 | Stockholder | Nov 2023 | B | ≈ 5.93% – 50% via Creative Planning (Cpi) Holdco, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Cpi Holdco B, Llc: 75% – 100% of United Capital Financial Partners, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Cpi Holdco A, Llc: 75% – 100% of Cpi Holdco B, Llc × 75% – 100% of United Capital Financial Partners, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Creative Planning Holdco, Llc: 75% – 100% of Cpi Holdco A, Llc × 75% – 100% of Cpi Holdco B, Llc × 75% – 100% of United Capital Financial Partners, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Creative Planning (Cpi) Holdco, Inc.: 75% – 100% of Creative Planning Holdco, Llc × 75% – 100% of Cpi Holdco A, Llc × 75% – 100% of Cpi Holdco B, Llc × 75% – 100% of United Capital Financial Partners, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Peter Mallouk Trust Dtd 07/17/2002: 50% – 75% of Creative Planning (Cpi) Holdco, Inc. × 75% – 100% of Creative Planning Holdco, Llc × 75% – 100% of Cpi Holdco A, Llc × 75% – 100% of Cpi Holdco B, Llc × 75% – 100% of United Capital Financial Partners, Llc × 75% – 100% direct ≈ 11.87% – 75% of the firm
- Mjg Irrevocable Trust Dtd 01/01/2014: 25% – 50% of Creative Planning (Cpi) Holdco, Inc. × 75% – 100% of Creative Planning Holdco, Llc × 75% – 100% of Cpi Holdco A, Llc × 75% – 100% of Cpi Holdco B, Llc × 75% – 100% of United Capital Financial Partners, Llc × 75% – 100% direct ≈ 5.93% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (9)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Tropical Financial Credit Union 401(k) Profit Sharing Plan | Tropical Financial Credit Union | 176 | $18.4M | 01/01/2024 |
| United Data Technologies, 401(k) Retirement Plan | United Data Technologies, Inc. | 470 | $24.4M | 01/01/2024 |
| State Utility Contractors, Inc. 401(k) Profit Sharing Plan | State Utility Contractors, Inc. | 166 | $13.9M | 01/01/2024 |
| Selma Medical Assoc Inc 401 K Profit Sharing Plan | Selma Medical Associates, Inc. | 70 | $22.1M | 01/01/2024 |
| J.F. Edwards Construction Co. 401(k) P/S Plan | J.F. Edwards Construction | 134 | $15.6M | 01/01/2024 |
| Fine Art Lamps 401(k) Plan | Gq Investments, Llc | 100 | $5.3M | 01/01/2024 |
| Smith, Gambrell & Russell, Llp 401(k) Retirement Plan | Smith, Gambrell & Russell, Llp | 524 | $266M | 01/01/2024 |
| Jillamy, Inc 401(k) Profit Sharing Plan | Jillamy, Inc | 395 | $13.6M | 01/01/2024 |
| Atg Retirement Savings Plan | Aerospace Technologies Group, Inc. | 200 | $7.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/15/2026 | 1.88 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $14.4B (58% of AUM) Jun 2026
- National Financial Services (Fidelity) $8.3B (34% of AUM) Jun 2026
- Fidelity Brokerage Services $4.5B (26% of AUM) Jan 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 15, 2026.
View current Form ADV (SEC/IAPD) ↗