Wealth manager, independent · Garden City, NY
United Asset Strategies Inc.
SEC-registered investment adviser · CRD 107434 · SEC 801-41464
At a glance
United Asset Strategies Inc. is an SEC-registered investment adviser based in Garden City, New York, with $2.2B in regulatory assets under management as of its Form ADV filed July 9, 2026. It reports 1,577 individual clients, 503 of them high-net-worth, holding an average of about $1.3 million each, and 33 employees. That ranks it 503rd among the nation’s 5,657 independent wealth management RIAs and 39th of 408 in New York. It reports Charles Schwab as the custodian for its clients’ separately managed accounts.
Up $132M from $2.1B in its previous filing; rank 533 → 503. This month’s movers →
Main office 516-222-0021unitedasset.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $2.2B
- Rank among independent wealth managers
- #503 of 5,657
- Rank among all SEC RIAs
- #3,426 of 17,210
- Rank in New York
- #39 of 408
- Individual clients
- 1,577
- High-net-worth clients
- 503
- Accounts
- 4,208
- Discretionary
- 92% of AUM
- Employees
- 33
- Advisory staff
- 21
- Offices
- 2
Owners and executives on its Form ADV
- Kathryn P. BellerChief Compliance Officer
- Michael V. RiccardiPresident and Shareholder
- Matthew R. DelorenzoChief Executive Officer, Chief Investment Officer, and Shareholder
- Robert J. MurphyChief Operations Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
United Asset Strategies Inc. reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 503 | $1.7B | 75% |
| Individuals | 1,074 | $369M | 17% |
| Pension and profit sharing plans | 71 | $143M | 6% |
| Corporations or other businesses | 23 | $27M | 1% |
| Charitable organizations | 2 | $12M | <1% |
Disciplinary disclosures
United Asset Strategies Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗unitedasset.com ↗
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The full record on United Asset Strategies Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,797 peers of its type and size
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- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Shufro, Rose & Co., LLCNew York | $2.5B | 1,207 |
| Howe and Rusling, Inc.Rochester | $2.4B | 1,351 |
| Magnus Financial Group LLCNew York | $2.3B | 1,114 |
| Next Capital Management LLCNew York | $2.1B | 257 |
| Vanderbilt Advisory ServicesWoodbury | $2.1B | 6,199 |
| Tortoise Investment Management, LLCWhite Plains | $2.1B | 504 |
Background
Questions
How much does United Asset Strategies Inc. manage?
United Asset Strategies Inc. reports $2.2B in regulatory assets under management across 4,208 accounts, 92% of it on a discretionary basis, on its Form ADV filed July 9, 2026.
How many clients does United Asset Strategies Inc. have?
It reports 1,577 individual clients: 503 high-net-worth individuals and 1,074 other individuals. Individuals account for about 92% of its regulatory assets.
Where is United Asset Strategies Inc. headquartered?
Its main office is in Garden City, New York. It reports 2 offices in total and 33 employees, 21 of whom perform investment advisory functions.
How does United Asset Strategies Inc. charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; hourly charges; fixed fees. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does United Asset Strategies Inc. use?
It reports Charles Schwab as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed July 9, 2026, it reports these amounts held: Charles Schwab ($1.9B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is United Asset Strategies Inc. a hybrid RIA with a broker-dealer?
United Asset Strategies Inc. reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is United Asset Strategies Inc. a fiduciary?
As an SEC-registered investment adviser, United Asset Strategies Inc. owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is United Asset Strategies Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-09), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →