United Capital Financial Advisers is an investment advisor in Newport Beach with $17.42 bn assets under management.
Company profile
Employees
Location
Fiscal year end
Former names
United Capital Financial Advisers,inc.
SEC CIK
IRS number
270493248
SEC advisor number
801-64376
FINRA CRD number
134600
AUM ?
$17.42 bn
(as of 16 Nov 22)
Accounts
75,551
(as of 16 Nov 22)
Employees
758
(368 investment advisory or research)
Address
United Capital Financial Advisers
620 NEWPORT CENTER DRIVE
SUITE 500
NEWPORT BEACH
CA 92660
620 NEWPORT CENTER DRIVE
SUITE 500
NEWPORT BEACH
CA 92660
Office hours
Monday - Friday, 8:00AM-5:00 PM (PST)
Phone
949-999-8500
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
United Capital Financial Partners, Inc. | Sole Member and Manager | 11/2004 | > 75% |
Duran, Joseph, John | President | 07/2019 | < 5% |
Pfeiffer, Natasha, Irina | Counsel & Secretary | 07/2019 | < 5% |
the Goldman Sachs Group, Inc. | Sole Member and Manager | 07/2019 | > 75% |
Imd Holdings, LLC | Sole Member and Manager | 07/2019 | > 75% |
Spencer, Steven | Chief Compliance Officer | 10/2019 | < 5% |
Hemstead, Christopher | Vice President | 01/2021 | < 5% |
Luks, Shelley, M | Treasurer | 07/2019 | < 5% |
Restieri, Lawrence, Joseph | Vice President | 01/2022 | < 5% |
Poulson, Nicole, Marie | Chief Operating Officer | 05/2022 | < 5% |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
14 Feb 24
13F-HR
Quarterly holdings report by institutional manager
14 Nov 23
13F-HR/A
Quarterly holdings report by institutional manager (amended)
14 Aug 23
13F-HR
Quarterly holdings report by institutional manager
14 Aug 23
13F-HR
Quarterly holdings report by institutional manager
15 May 23
13F-HR
Quarterly holdings report by institutional manager
14 Feb 23
13F-HR
Quarterly holdings report by institutional manager
14 Nov 22
13F-HR
Quarterly holdings report by institutional manager
11 Aug 22
13F-HR
Quarterly holdings report by institutional manager
16 May 22
13F-HR
Quarterly holdings report by institutional manager
14 Feb 22