{"url":"https://nivawealth.com/firms/united-advisors-america-147350","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/147350","regulatoryAum":446510913,"crd":"147350","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5404842","suffix":null,"lastName":"ACKERMAN","firstName":"ANTHONY","middleName":"LOUIS"},{"crd":"5900636","suffix":null,"lastName":"BARTEN","firstName":"THOMAS","middleName":"ALLEN"},{"crd":"6612829","suffix":"Sr.","lastName":"Baxter","firstName":"Daniel","middleName":"John"},{"crd":"7200579","suffix":null,"lastName":"Canton","firstName":"Matthew","middleName":"Craig"},{"crd":"2754891","suffix":null,"lastName":"CARLSON","firstName":"ALAN","middleName":"LLOYD"},{"crd":"8144910","suffix":null,"lastName":"Cooper","firstName":"Dominic","middleName":"Bruce"},{"crd":"1529488","suffix":null,"lastName":"COOPER","firstName":"MICHAEL","middleName":"BRANDON"},{"crd":"1785449","suffix":null,"lastName":"CRAIG","firstName":"LUCIEN","middleName":"EUGENE"},{"crd":"1287396","suffix":null,"lastName":"DOUGHERTY","firstName":"MICHAEL","middleName":"PATRICK"},{"crd":"4703651","suffix":null,"lastName":"Dunlea","firstName":"Jonathan","middleName":"T"},{"crd":"2729084","suffix":"II","lastName":"FOLLETT","firstName":"RICHARD","middleName":"LYNN"},{"crd":"6170807","suffix":"JR","lastName":"FULLER","firstName":"GLEN","middleName":"ALLEN"},{"crd":"6359396","suffix":null,"lastName":"HUFF","firstName":"WILLIAM","middleName":"TROY"},{"crd":"7780248","suffix":null,"lastName":"Johnson","firstName":"Derek","middleName":"Douglas"},{"crd":"4786488","suffix":null,"lastName":"LAMONE","firstName":"BRIAN","middleName":"C"},{"crd":"7471492","suffix":null,"lastName":"MATKOVICH","firstName":"DALTON","middleName":"JAMES"},{"crd":"6158953","suffix":null,"lastName":"PAGANELLI","firstName":"AUBREY","middleName":"MARIE"},{"crd":"1399800","suffix":"II","lastName":"PINCOMBE","firstName":"LESLIE","middleName":"LYLE"},{"crd":"4165410","suffix":null,"lastName":"PITTS","firstName":"GREGORY","middleName":"JAY"},{"crd":"8148095","suffix":null,"lastName":"Sorem","firstName":"Austin","middleName":"Michael"},{"crd":"2557279","suffix":null,"lastName":"VANTASSEL","firstName":"VINCENT","middleName":"ALBERT"}],"total":21,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-01-28","regulatoryAum":128789738,"clients":957,"employees":27,"offices":1},{"filedOn":"2022-05-04","regulatoryAum":182706289,"clients":1295,"employees":30,"offices":1},{"filedOn":"2023-03-22","regulatoryAum":193671859,"clients":1475,"employees":28,"offices":1},{"filedOn":"2024-05-17","regulatoryAum":260175011,"clients":1738,"employees":27,"offices":1},{"filedOn":"2025-06-30","regulatoryAum":353695420,"clients":1751,"employees":25,"offices":1},{"filedOn":"2026-08-13","regulatoryAum":446510913,"clients":2809,"employees":28,"offices":1}],"secFileNumber":"801-114134","legalName":"United Advisors America Corporation","displayName":"United Advisors America","slug":"united-advisors-america-147350","website":"https://unitedadvisors.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/147350/2eb215ab4b464a4d-r1.webp","tone":"light","width":342,"height":200,"sourceUrl":"https://unitedadvisors.com/","sourceLabel":"United Advisors America, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/united-advisors-america","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"290 S Preston Road, Suite 220","city":"Prosper","state":"TX","stateName":"Texas","country":"United States","postalCode":"75078"},"tradeNames":[],"registration":{"secApproved":"12 October 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Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":446510913}],"custodyNote":"United Advisors America has custody of $4.21M for 12 clients.","otherCustodians":[],"leadership":[{"name":"Richard Follett","title":"Vice President and Secretary","crd":"2729084"},{"name":"Richard Follett","title":"President","crd":"2729084"},{"name":"Aubrey Paganelli","title":"Chief Operating Officer","crd":"6158953"},{"name":"Vincent Ammirato","title":"Chief Compliance Officer","crd":"5327912"}],"ownership":[{"label":"Follett Financial Holdings, LLC","detail":"Direct owner in the 75% or more ownership band and a control person, since July 2008."},{"label":"Richard Follett","detail":"Indirect owner: a managing member of Follett Financial Holdings, LLC in the 25% to 50% band and a control person, since July 2008. Also a member of Follett Financial Holdings, LLC in the 25% to 50% band and a control person, since July 2008.","parent":"Follett Financial Holdings, LLC"},{"label":"James Boyles","detail":"Indirect owner: a member of Follett Financial Holdings, LLC in the 25% to 50% band and a control person, since July 2008.","parent":"Follett Financial Holdings, LLC"},{"label":"Beau Follett","detail":"Indirect owner: a member of Follett Financial Holdings, LLC in the 25% to 50% band and a control person, since July 2008.","parent":"Follett Financial Holdings, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"290 S Preston Road, Suite 220","city":"Prosper","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"877-443-0610","stateRegisteredReps":24,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":3},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":89},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"13 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/147350/PDF/147350.pdf","brochureDate":"31 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1037183","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does United Advisors America have?","answer":"United Advisors America has 2,809 clients and manages $447 million for them, as of August 2026. They include 2,752 individual clients and 57 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does United Advisors America offer?","answer":"United Advisors America provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does United Advisors America use?","answer":"United Advisors America’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $447M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 13 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does United Advisors America have?","answer":"United Advisors America has 24 investment adviser representatives registered with state securities authorities, out of 28 employees, and 24 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 22 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does United Advisors America invest in?","answer":"At the end of its last fiscal year, United Advisors America’s separately managed accounts held 89% registered funds (mutual funds, ETFs, BDCs), 5% cash and equivalents, 3% exchange-traded equities, 1% U.S. government and agency bonds, 1% state and local bonds and 1% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns United Advisors America?","answer":"United Advisors America is owned through a holding company by Richard and Beau Follett and James Boyles. Its direct owner is Follett Financial Holdings, LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 13 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does United Advisors America get paid?","answer":"United Advisors America is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact United Advisors America?","answer":"United Advisors America’s main office is at 290 S Preston Road, Suite 220, Prosper, TX 75078. Its phone number is 877-443-0610. Its website is unitedadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 13 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}