SourcingSourcing

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

C24
CRD 20804·SEC 801-57198·SCOTTSDALE, AZ
AUM
$12.77B
$1B+
Est. Revenue
$127.7M
@ 1% on AUM
Est. EBITDA
$38.3M
@ 30% margin
Est. Deal Value
$306.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
CRD
20804
SEC file #
801-57198
EIN
364788494
DBA names
—

Economics

AUM
$12.77B
AUM band
$1B+
AUM trajectory
'20'26
$3.21B → $12.77B▲ +298%
Client mix
Individuals Other25,159
Individuals High Net Worth4,880
Corporations192
Charitable Organizations96
Pension Profit Sharing Plans42

Operations

Employees (total)
620
Advisory staff (per ADV)
546
Advisory staff (5-yr trend)
'20'26
411 advisors → 546 advisors▲ +33%
Primary office
SCOTTSDALE AZ
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesCommissions

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
twitter.com/unitedplanners(social)

Compliance

Disclosures (firm)
4
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
UNITED PLANNERS' GROUP, INC.
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
6
Control Persons
UNITED PLANNERS' GROUP, INC.
BAKER, MICHAEL A
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:unitedplanners.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001616084
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2016-11-08
Edgar Last Filing Date
2017-11-08
Edgar Form D Count
2
Edgar Form D Offerings
2017-11-082017-11-08 · 0001140361-17-041589
2016-11-082016-11-08 · 0001140361-16-085219

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
50
Bc Firm Active IA Count
33
Bc Firm IAR Count
50
Custodian Candidates
Full
Charles Schwab6
E*trade6
Fidelity4
Axos Advisor Services2
Edgar Addresses
Mailing
ATEL FINANCIAL SERVICES, LLC600 MONTGOMERY STREET, 9TH FLOORSAN FRANCISCO, CA 94111
Business
ATEL FINANCIAL SERVICES, LLC600 MONTGOMERY STREET, 9TH FLOORSAN FRANCISCO, CA 94111
Edgar EIN
364788494
Edgar Recent Filings
D/A2017-11-08 · 0001140361-17-041589
D2016-11-08 · 0001140361-16-085219
Fee Schedule
Bracket I90
Bracket Xi6
Bracket Iii1
Bracket Iv1
Bracket Vi1
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
No

People (55)

55
BAKER, MICHAEL A
Executive Officer · 2.5%
4037933
CUFFARI-AGASI, SHEILA JUNE
Executive Officer · 2.5%
2401020
HAUER, DAVE B
Executive Officer · 2.5%
4018434
OLIVERIO, KENNETH WILLIAM JR
Executive Officer · 2.5%
2957427
SHINDEL, CHAD TRAVIS
Executive Officer · 2.5%
6232253
CHRISTOPHER DIZON BAUTISTA
IAR
6254399
ETHAN KNAPP MASTERMAN
IAR
4513996
RICHARD ANDREW GARBER
IAR
7884550
Christina Brillowsky
IAR
7184681
MICHAEL JOHN MATUSKA
IAR
6679507
Jordan Edward Rethman
IAR
7605445
RAYBURN EUGENE BROOKS
IAR
4521666
SCOTT EVAN PLETCHER
IAR
5281070
JEFFREY THOMAS ZARLING
IAR
5343730
JENNA M HUDSON
IAR
5691594
JENNIFER SUE WOODWARD
IAR
6225085
MICHAEL R ROMANOFF
IAR
4689467
EDITH M HILEMAN
IAR
6142459
ALEXANDRIA NICOLE FRANCO
IAR
6829268
ROBERT EARL MABE
IAR
2542849
EDWARD STANLEY KOZUN
IAR
2454967
STUART LEE KESSELHAUT
IAR
2256625
RICHARD LEE GJOLME
IAR
2124770
MATTERN, CHRISTOPHER, D
IAR
5202739
MARY MARGARET GIES
IAR
2865774
RON CARY ASHLEY
IAR
1175351
KATHLEEN JUNE BUDNER
IAR
1204891
DEREK JOSEPH KESIG
IAR
2771340
BRIAN KEITH GRANVILLE
IAR
2606694
RYAN MICHAEL VAN WYNGARDEN
IAR
7989471
BRANDON REW WALKER
IAR
5207833
VINCENT EUGENE REAVER
IAR
6656426
DREW Thomas MIRGON
IAR
7961142
JOYCE ANN ROLFES
IAR
2477586
Timothy N Troutman
IAR
2779842
DIANE LLOYD
IAR
6225545
LAURA MAE CHANG
IAR
5742827
KRISTA SUSANNE KRAMER
IAR
4819260
MARK BERGEY
IAR
7321278
IRIS NOELLE SAGRADO
IAR
5093904
MARTHA KATHRYN TROUTNER
IAR
2303745
Megan Danielle Muccio
IAR
6927803
MICHELLE BERGMANN
IAR
4953063
GRETCHIN RACHELLE SCOTT
IAR
4751791
DENNIS JOHN ROGERS
IAR
2267193
PERRY LEE DIEDE
IAR
1977719
TAMI JO FIELDS
IAR
5464803
JACK G BEST
IAR
5678112
JAY PATRICK CLARK
IAR
6945460
FABIOLA LUCRECIA HILL
IAR
3026440
NANCY ARLENE LOVELAND
IAR
1071351
JOHN GERARD ROGERS
IAR
2083709
JAMES MARK FRANCO
IAR
1385945
DAVID BEN ARNOLD
IAR
5181401
JENNIFER KRISTEN BERBERICH
IAR
4654670