United Planners' Financial Services of America a Limited Partner
Registered investment adviser · Scottsdale, AZ · CRD #20804
Form ADV data as of 2026-09-01Regulatory assets
$12.77 billion
Total accounts
47,883
Employees
620
Disclosure events
14
Firm details
- Website: http://www.twitter.com/unitedplanners
- Telephone: 480-991-0225
- SEC file number: 801-57198
- Most recent Form ADV filing: 2026-06-18
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 4 disclosure questions answered Yes, covering 14 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 found a violation of investment-related regulations or statutes
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A self-regulatory organization found a false statement or omission
- A self-regulatory organization found a violation of its rules
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $607.1 million |
| Non-discretionary regulatory assets under management | $12.16 billion |
| Total regulatory assets under management | $12.77 billion |
| Discretionary accounts | 1,162 |
| Non-discretionary accounts | 46,721 |
| Total accounts | 47,883 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 620 |
| Employees performing investment advisory functions (including research) | 546 |
| Employees who are registered representatives of a broker-dealer | 539 |
| Employees registered as investment adviser representatives with a state | 370 |
| Employees registered as IARs for another investment adviser | 176 |
| Employees who are licensed insurance agents | 466 |
| Firms or persons who solicit advisory clients on the firm's behalf | 3 |
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 | $861.9 million |
| Clients for whom the firm has custody | 25,581 |
| 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 | 4 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
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
- Brokers or dealers recommended under 8.E. are related persons
- Receives soft dollar benefits
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 25,159 | $6.75 billion |
| High net worth individuals | 4,880 | $5.57 billion |
| Pension and profit sharing plans (not the participants or government plans) | 42 | $42.4 million |
| Charitable organizations | 96 | $85.9 million |
| Corporations or other businesses not listed above | 192 | $322.5 million |