Federal Data Hub › SEC Form ADV · JSON · SEC IAPD ↗

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

dba UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER · CRD 20804 · Registered Investment Adviser

Regulatory disclosure

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER is a Registered Investment Adviser headquartered in SCOTTSDALE, AZ. The firm reports $12,770,766,549 in regulatory assets under management across 47,883 accounts. It reports 4 Form ADV Item 11 disciplinary disclosure(s) (Regulatory).

Regulatory assets under management

Discretionary$607,097,673
Non-discretionary$12,163,668,876
Total RAUM$12,770,766,549
Accounts47,883

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 4 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 20804. adviserinfo.sec.gov/firm/summary/20804.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

License: CC0 1.0 Universal. Corrections: corrections @ ai-analytics.org.