SourcingSourcing

UNIVERSAL FINANCIAL ADVISORS, LLC

C39
CRD 318392·SEC 801-124991·ST. LOUIS, MO
AUM
$277.5M
$100M-$500M
Est. Revenue
$2.8M
@ 1% on AUM
Est. EBITDA
$832K
@ 30% margin
Est. Deal Value
$6.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
UNIVERSAL FINANCIAL ADVISORS, LLC
CRD
318392
SEC file #
801-124991
EIN
—
DBA names
—

Economics

AUM
$277.5M
AUM band
$100M-$500M
AUM trajectory
'23'26
$180.0M → $277.5M▲ +54%
Client mix
Individuals Other257
Individuals High Net Worth69
Corporations3
Charitable Organizations2

Operations

Employees (total)
8
Advisory staff (per ADV)
8
Advisory staff (5-yr trend)
'23'26
5 advisors → 8 advisors▲ +60%
Primary office
ST. LOUIS MO
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesSelection of other advisers
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/16/2026
ADV-W filed at
—
Website
universaladvisorsgroup.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
BRIAN C. LOCK TOD BRIAN C. LOCK AND
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
BRIAN C. LOCK TOD BRIAN C. LOCK AND
LOCK, ASHLEY, BETH
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
ok
Rdap Domain
UNIVERSALADVISORSGROUP.COM
Rdap Domain Creation Date
2021-12-21T17:14:44Z
Rdap Firm Age Years
5
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
3,551
Form 5500 Compensation Trajectory 3y
20253,551
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
3,551
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (13)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
5
Bc Firm Active IA Count
9
Bc Firm IAR Count
9
Custodian Candidates
Full
Charles Schwab10
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-12-21T17:14:44Z
Rdap Domain Last Changed
2025-12-22T18:32:38Z
Rdap Nameservers
Ns51.domaincontrol.comNs52.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No

People (10)

10
LOCK, ASHLEY, BETH
Direct Owner · 62.5%
8024243
LOCK, BRIAN, CHRISTOPHER
IAR · Executive Officer · 2.5%
3092520
Anna Marie Meurer
IAR
5197293
Grant Hunter Richars
IAR
8015919
COREY JAY MYERS
IAR
3162395
Stephanie Louise Longanecker
IAR
6934266
WILLIAM BERNARD ALBAIR
IAR
4916860
ANTHONY DWAYNE RICH
IAR
6296842
SUSAN RENE SOMMER
IAR
2202276
GREGORY JOHN WOZNIAK
IAR
2914251