SEC-registered wealth management firm Broker-dealer affiliated
United Planners' Financial Services of America A Limited Partner
As of its Form ADV filed June 18, 2026, United Planners' Financial Services of America A Limited Partner, an SEC-registered, broker-dealer affiliated wealth management firm in Scottsdale, Arizona, reported $12.8 billion in regulatory assets under management across 47,883 accounts, ranking #2 among all wealth firms in Arizona by assets.
Registration
- Main office
- Scottsdale, AZ
- Registration
- SEC-registered, Approved
- CRD number
- 20804
- SEC file number
- 801-57198
- Registered since
- January 28, 2000
- Latest Form ADV filing
- June 18, 2026
- Organized as
- Partnership
- Fiscal year ends
- December
- Other offices
- 209
Key figures
- Regulatory assets under management
- $12.8 billion
- Discretionary
- $607.1 million (4.8%)
- Non-discretionary
- $12.2 billion
- Accounts
- 47,883 (1,162 discretionary)
- Clients
- 30,852, approximate as reported
- Employees
- 620
- Advisory staff
- 546 performing investment advisory functions
- Average account
- $266,708
- Asset growth, 1 year
- 20.1% (from $10.6 billion a year earlier)
- Asset growth, 3-year annual rate
- 28.0% (from $6.1 billion three years earlier)
- Asset growth, 5-year annual rate
- 16.5% (from $6.0 billion five years earlier)
- Client growth, 1 year
- 14.0% (from 27,053)
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 1, 2010 | $506.4 million |
| October 3, 2011 | $698.8 million |
| October 1, 2012 | $1.1 billion |
| October 1, 2013 | $1.5 billion |
| October 1, 2014 | $1.2 billion |
| October 1, 2015 | $1.8 billion |
| October 3, 2016 | $1.8 billion |
| October 2, 2017 | $2.4 billion |
| October 1, 2018 | $2.8 billion |
| October 1, 2019 | $3.2 billion |
| October 1, 2020 | $4.3 billion |
| October 4, 2021 | $6.0 billion |
| October 3, 2022 | $7.9 billion |
| October 5, 2023 | $6.1 billion |
| October 1, 2024 | $9.3 billion |
| September 2, 2025 | $10.6 billion |
| October 2, 2026 | $12.8 billion |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 25,159 clients | $6.8 billion | |
| High net worth individuals 4,880 clients | $5.6 billion | |
| Corporations or other businesses 192 clients | $322.5 million | |
| Charitable organizations 96 clients | $85.9 million | |
| Pension and profit sharing plans 42 clients | $42.4 million | |
| Banking or thrift institutions fewer than 5 clients | $0 | |
| State or municipal government entities fewer than 5 clients | $0 | |
| Other investment advisers fewer than 5 clients | $0 | |
| Insurance companies fewer than 5 clients | $0 | |
| Sovereign wealth funds and foreign official institutions fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Pension consulting
- Selection of other advisers
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Insurance company or agency
Custody (Item 9)
The firm reported custody of client cash or securities, $861.9 million in total.
Investment adviser representatives
- IARs registered with the firm
- 362
- Also registered through a broker-dealer
- 347
- Employees who are IARs (Form ADV 5.B(3))
- 370
Designations held by the firm's IARs: CFP 81, ChFC 29, PFS 3, CFA 1.
Between 47 and 196 of the firm's 362 IARs are registered in jurisdictions that require IAR CE. The source counts registrations by jurisdiction, and many IARs are registered in more than one, so the exact number is not knowable from it. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 4 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Arizona
| Firm | City | RAUM |
|---|---|---|
| Foundations Investment Advisors LLC | Phoenix | $10.1 billion |
| Ashton Thomas Private Wealth | Scottsdale | $6.0 billion |
| Dynamic | Phoenix | $5.6 billion |
| Tci Wealth Advisors, Inc. | Tucson | $5.4 billion |
| Tfo Family Office Partners | Phoenix | $5.0 billion |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- United Planners' Financial Services of America A Limited Partner on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.unitedplanners.com
- Wealth management firms in Arizona
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.