Broker-dealer firm · Scottsdale, AZ
United Planners' Financial Services of America A Limited Partner
SEC-registered investment adviser · CRD 20804 · SEC 801-57198
At a glance
United Planners' Financial Services of America A Limited Partner is an SEC-registered investment adviser based in Scottsdale, Arizona, with $12.8 billion in regulatory assets under management as of its Form ADV filed June 18, 2026. Its largest client group by assets is individuals, and it reports 30,039 individual clients. By Form ADV it is a broker-dealer firm, ranked 59th of 391 broker-dealer firms and 1,168th of 17,210 SEC-registered advisers by assets.
Main office 480-991-0225unitedplanners.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $13B
- Rank among broker-dealer firms
- #59 of 391
- Rank among all SEC RIAs
- #1,168 of 17,210
- Rank in Arizona
- #5 of 212
- Individual clients
- 30,039
- High-net-worth clients
- 4,880
- Accounts
- 47,883
- Discretionary
- 5% of AUM
- Employees
- 620
- Advisory staff
- 546
- Offices
- 210
Owners and executives on its Form ADV
- Michael A BakerPresident
- Kenneth William Jr OliverioExecutive Vice President, Chief Marketing Officer
- Dave B HauerVice President Compliance, Chief Compliance Officer
- Chad Travis ShindelVice President, Chief Financial Officer (CFO)
- Sheila June Cuffari-AgasiExecutive Vice President
- Michael A BakerChief Executive Office (CEO)
Custody and brokerage
Broker-dealer
Hybrid RIA
United Planners' Financial Services of America A Limited Partner is a hybrid RIA: 539 of its employees are also registered representatives of a broker-dealer.
Form ADV Part 1 doesn’t name an unaffiliated broker-dealer. The firm’s Part 2A brochure (Item 10) and each adviser’s record on the SEC’s adviser search do.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 25,159 | $6.8B | 53% |
| High-net-worth individuals | 4,880 | $5.6B | 44% |
| Corporations or other businesses | 192 | $323M | 3% |
| Charitable organizations | 96 | $86M | <1% |
| Pension and profit sharing plans | 42 | $42M | <1% |
Disciplinary disclosures
United Planners' Financial Services of America A Limited Partner answers yes to 14 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗unitedplanners.com ↗
AtlasMembers
The full record on United Planners' Financial Services of America A Limited Partner
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 63 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does United Planners' Financial Services of America A Limited Partner manage?
United Planners' Financial Services of America A Limited Partner reports $12.8 billion in regulatory assets under management across 47,883 accounts, 5% of it on a discretionary basis, on its Form ADV filed June 18, 2026.
What kind of firm is United Planners' Financial Services of America A Limited Partner?
United Planners' Financial Services of America A Limited Partner is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are United Planners' Financial Services of America A Limited Partner’s clients?
By assets, its largest client types are individuals ($6.8 billion, 25,159 clients); high-net-worth individuals ($5.6 billion, 4,880 clients); corporations or other businesses ($323 million, 192 clients).
Does United Planners' Financial Services of America A Limited Partner have any disciplinary history?
United Planners' Financial Services of America A Limited Partner answers yes to 14 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is United Planners' Financial Services of America A Limited Partner’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 (2026-06-18), 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). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. 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 →