UNITED ADVISORS AMERICA
UNITED ADVISORS AMERICA CORPORATION Legal Name
Adviser information for UNITED ADVISORS AMERICA last updated from Form ADV on March 20th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 27 |
|---|---|
| Investment Advisory/Research | 26 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 26 |
| Licensed Agents of an Insurance Company | 26 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,134 | $246.3M |
| Non-Discretionary | 115 | $13.9M |
| Total | 2,249 | $260.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,678 | $189.2M |
| HNW Individuals | 60 | $71.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting services |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-114134 |
|---|---|
| SEC ERA File Number | 801-114134 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 147350 |
| Legal Entity Identifier | None |
Principal Office
290 S PRESTON ROADSUITE 220
PROSPER
TX
United States
Monday - Friday, 8:00 AM - 4:30 PM
Tel: 877-443-0610, Fax: 469-287-5183
Chief Compliance Officer
VINCENT AMMIRATO
290 S. PRESTON ROAD
SUITE #220
PROSPER
TX
United States
Tel:
877-443-0610
V********@*****************M
(Full email address available in API data)
Regulatory Contact
AUBREY PAGANELLI
CHIEF OPERATING OFFICER
290 S PRESTON ROAD
SUITE 220
PROSPER
TX
United States
Tel:
877-443-0610
A*********@*****************M
(Full email address available in API data)
Industry Affiliates
| ALLIANCE AMERICA | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FOLLETT, RICHARD, LYNN | Individual | – | VICE PRESIDENT AND SECRETARY | 09/2008 | < 5% |
| FOLLETT FINANCIAL HOLDINGS, LLC | Domestic Entity | – | DIRECT OWNER | 07/2008 | > 75% |
| FOLLETT, RICHARD, LYNN | Individual | – | PRESIDENT | 07/2015 | < 5% |
| FOLLETT, RICHARD, LYNN | Individual | FOLLETT FINANCIAL HOLDINGS, LLC | MANAGING MEMBER | 07/2008 | 25-50% |
| PAGANELLI, AUBREY, MARIE | Individual | – | CHIEF OPERATING OFFICER | 05/2022 | < 5% |
| FOLLETT, RICHARD, L | Individual | FOLLETT FINANCIAL HOLDINGS, LLC | MEMBER | 07/2008 | 25-50% |
| BOYLES, JAMES, KEVIN | Individual | FOLLETT FINANCIAL HOLDINGS, LLC | MEMBER | 07/2008 | 25-50% |
| FOLLETT, BEAU, R | Individual | FOLLETT FINANCIAL HOLDINGS, LLC | MEMBER | 07/2008 | 25-50% |
| AMMIRATO, VINCENT, SALVATORE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |