{"url":"https://nivawealth.com/firms/united-planners-financial-services-of-america-a-limited-partner-20804","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/20804","regulatoryAum":12770766549,"crd":"20804","secFileNumber":"801-57198","legalName":"United Planners' Financial Services of America A Limited Partner","displayName":"United Planners' Financial Services of America A Limited Partner","website":"https://www.unitedplanners.com","founded":null,"organization":"Arizona partnership","fiscalYearEnd":"December","headquarters":{"street":"7333 East Doubletree Ranch RD, Suite 120","city":"Scottsdale","state":"AZ","stateName":"Arizona","country":"United States","postalCode":"85258"},"tradeNames":["Apex Retirement Consulting LLC","Beran Financial Partners","Brookhaven Wealth Management Inc.","Capital Legacy Partners, LLC","Catalyst Financial Strategies LLC","Designs for Wealth","Financial Planning Advisors, Inc.","Firesky Financial Inc.","Foothill Financial Group","Full Circle Financial","Gotta Retirement Services, Inc.","Guidant Planning, Inc","HF Capital Group LLC","Investment Center","Lee Stoerzinger, Inc.","Mabe Financial Group","Palmer Nunn Wealth Management","Retirement & Money Strategies","Rivercrest Financial","Skye Financial Services, Inc","Sparrow Financial","Stewardship America Financial","Voyage Partners Financial Strategies, LLC","Wealth Avenue","Wendel Financial Group","Wire to Wire Wealth","Yeecorp Financial"],"registration":{"secApproved":"28 January 2000","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":620,"advisory":546,"brokerDealerReps":539,"insuranceAgents":466,"promoters":3},"aum":{"discretionary":607097673,"discretionaryAccounts":1162,"nonDiscretionary":12163668876,"nonDiscretionaryAccounts":46721,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":483},"clientTypes":[{"label":"Individuals (other than HNW)","clients":25159,"regulatoryAum":6754421921},{"label":"High-net-worth individuals","clients":4880,"regulatoryAum":5565608722},{"label":"Pension and profit-sharing plans","clients":42,"regulatoryAum":42356777},{"label":"Charitable organizations","clients":96,"regulatoryAum":85871543},{"label":"Corporations and other businesses","clients":192,"regulatoryAum":322507586}],"fees":[],"feeNotes":[],"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":7567577994},{"name":"Axos Clearing LLC","shortName":"Axos Clearing","location":"Centennial, CO","smaAssets":1429364832},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":1813386176}],"custodyNote":"United Planners' Financial Services of America A Limited Partner has custody of $861.9M for 25,581 clients.","otherCustodians":[],"leadership":[{"name":"Michael A Baker","title":"Chief Executive Office (ceo)","crd":"4037933"},{"name":"Michael A Baker","title":"President","crd":"4037933"},{"name":"Sheila June Cuffari-Agasi","title":"Executive Vice President","crd":"2401020"},{"name":"Dave B Hauer","title":"Vice President Compliance, Chief Compliance Officer","crd":"4018434"},{"name":"Kenneth William JR Oliverio","title":"Executive Vice President, Chief Marketing Officer","crd":"2957427"},{"name":"Chad Travis Shindel","title":"Vice President, Chief Financial Officer (cfo)","crd":"6232253"}],"ownership":[{"label":"United Planners' Group, Inc.","detail":"General partner in the 75% or more ownership band and a control person, since August 1987."},{"label":"Michael A Baker","detail":"Indirect owner: president of United Planners' Group, Inc. and a control person, since September 2007.","parent":"United Planners' Group, Inc."},{"label":"Chad Travis Shindel","detail":"Indirect owner: treasurer of United Planners' Group, Inc. and a control person, since March 2020.","parent":"United Planners' Group, Inc."},{"label":"Kenneth William JR Oliverio","detail":"Indirect owner: shareholder of United Planners' Group, Inc., since January 2021.","parent":"United Planners' Group, Inc."},{"label":"Sheila June Cuffari-Agasi","detail":"Indirect owner: shareholder of United Planners' Group, Inc., since January 2021.","parent":"United Planners' Group, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":209,"privateResidences":0},"listedOfficeAddresses":26,"officesByState":[{"state":"Arizona","offices":4,"addresses":[{"street":"7333 East Doubletree Ranch RD, Suite 120","city":"Scottsdale","headquarters":true},{"street":"7210 N 16th ST","city":"Phoenix"},{"street":"4763 E Camp Lowell DR","city":"Tucson"},{"street":"7373 E Doubletree Ranch RD","city":"Scottsdale"}]},{"state":"California","offices":2,"addresses":[{"street":"7491 N Remington Ave","city":"Fresno"},{"street":"10833 Valley View ST","city":"Cypress"}]},{"state":"Connecticut","offices":1,"addresses":[{"street":"85 Barnes RD","city":"Wallingford"}]},{"state":"Florida","offices":2,"addresses":[{"street":"213 South Dillard ST","city":"Winter Garden"},{"street":"2555 Enterprise RD.","city":"Clearwater"}]},{"state":"Hawaii","offices":1,"addresses":[{"street":"3156 Elua ST","city":"Lihue"}]},{"state":"Indiana","offices":1,"addresses":[{"street":"4315 Flagstaff Cove","city":"Fort Wayne"}]},{"state":"Iowa","offices":1,"addresses":[{"street":"231 First ST E","city":"Independence"}]},{"state":"Maryland","offices":1,"addresses":[{"street":"1 Bank Street","city":"Gaithersburg"}]},{"state":"Minnesota","offices":3,"addresses":[{"street":"600 Highway 169 S","city":"ST Louis Park"},{"street":"9121 Baltimore ST. Ne","city":"Minneapolis"},{"street":"1741 Second Street SW","city":"Rochester"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"701 White Horse RD","city":"Vorhees"}]},{"state":"New York","offices":1,"addresses":[{"street":"510 Broadhollow Road","city":"Melville"}]},{"state":"Ohio","offices":2,"addresses":[{"street":"100 S Main Ave","city":"Sidney"},{"street":"7465 SR 366","city":"Huntsville"}]},{"state":"Oregon","offices":1,"addresses":[{"street":"210 West 8th ST","city":"Medford"}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"3052 State Route 257","city":"Seneca"}]},{"state":"Utah","offices":1,"addresses":[{"street":"3550 Harrison BLVD","city":"Ogden"}]},{"state":"Virginia","offices":1,"addresses":[{"street":"4317 Bonney Road","city":"Virginia Beach"}]},{"state":"Washington","offices":1,"addresses":[{"street":"9016 E Indiana Ave","city":"Spokane Valley"}]},{"state":"Wisconsin","offices":1,"addresses":[{"street":"720 Industrial Court","city":"Hartland"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"480-991-0225","stateRegisteredReps":370,"otherAdviserReps":176,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":90},{"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":"Cash and cash equivalents","percent":6},{"label":"Other","percent":1,"detail":"U.S State and Local Bonds, Sovereign Bonds, Uit, U.S. Government Agency Bonds, Certificates of Deposit"}],"privateFunds":0},"sources":{"adv1FilingDate":"18 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/20804/PDF/20804.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does United Planners' Financial Services of America A Limited Partner have?","answer":"United Planners' Financial Services of America A Limited Partner has 30,369 clients and manages $12.8 billion for them, as of June 2026. They include 25,159 other individuals, 4,880 high-net-worth individuals and 192 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does United Planners' Financial Services of America A Limited Partner offer?","answer":"United Planners' Financial Services of America A Limited Partner provides financial planning, portfolio management for individuals and small businesses, pension consulting and selecting other managers.","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 Planners' Financial Services of America A Limited Partner use?","answer":"United Planners' Financial Services of America A Limited Partner’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $7,567,577,994, Fidelity Brokerage Services LLC (Smithfield, RI), with $1,813,386,176 and Axos Clearing LLC (Centennial, CO), with $1,429,364,832. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 18 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does United Planners' Financial Services of America A Limited Partner have?","answer":"United Planners' Financial Services of America A Limited Partner has 370 investment adviser representatives registered with state securities authorities, out of 620 employees, and 546 perform investment advisory functions. 539 are registered representatives of a broker-dealer and 466 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 Planners' Financial Services of America A Limited Partner invest in?","answer":"At the end of its last fiscal year, United Planners' Financial Services of America A Limited Partner’s separately managed accounts held 90% exchange-traded equities, 6% cash and equivalents, 1% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% u.s state and local bonds, sovereign bonds, uit, u.s. government agency bonds, certificates of deposit. It advises no private funds of its own.","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 Planners' Financial Services of America A Limited Partner?","answer":"United Planners' Financial Services of America A Limited Partner’s direct owner is United Planners' Group, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does United Planners' Financial Services of America A Limited Partner get paid?","answer":"United Planners' Financial Services of America A Limited Partner is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no 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"}}],"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 Wealth 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."}