United Capital Financial Advisors

Registered investment adviser · Irving, TX · CRD #134600

Form ADV data as of 2026-09-01

Regulatory assets

$24.65 billion

Total accounts

45,106

Employees

289

Disclosure events

Firm details

Website: https://www.facebook.com/unitedcapitalfinancialadvisors
Telephone: 972-822-2055
SEC file number: 801-64376
Most recent Form ADV filing: 2026-06-15
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Another regulator denied, suspended, or revoked a registration or restricted activity

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$22.50 billion
Non-discretionary regulatory assets under management	$2.15 billion
Total regulatory assets under management	$24.65 billion
Discretionary accounts	43,563
Non-discretionary accounts	1,543
Total accounts	45,106
Regulatory assets under management attributable to non-U.S. persons	$13.2 million

People

Total employees (excluding clerical)	289
Employees performing investment advisory functions (including research)	162
Employees who are registered representatives of a broker-dealer	26
Employees registered as investment adviser representatives with a state	162
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	88
Firms or persons who solicit advisory clients on the firm's behalf	5

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$5.30 billion
Clients for whom the firm has custody	4,338
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	39

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Publication of periodicals or newslettersEducational seminars/workshopsOther

Affiliated related persons

Other investment adviser (including financial planners)Trust companyAccountant or accounting firmLawyer or law firmInsurance company or agencyPension consultant

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	22,900	$9.59 billion
High net worth individuals	1,937	$11.02 billion
Pension and profit sharing plans (not the participants or government plans)	223	$1.16 billion
Charitable organizations	114	$407.4 million
Other investment advisers	5	$668.9 million
Corporations or other businesses not listed above	331	$1.80 billion