United Planners' Financial Services Of America A Limited Partner (Scottsdale)

Name: United Planners' Financial Services Of America A Limited Partner
Address: 7333 East Doubletree Ranch Rd, Suite 120, Scottsdale, AZ, 85258
Telephone: 480-991-0225

United Planners' Financial Services Of America A Limited Partner is a large advisory firm based in Scottsdale. It manages $3.21 billion of regulatory assets for 20,657 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

United Planners' Financial Services Of America A Limited Partner provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

United Planners' Financial Services Of America A Limited Partner: assets under management

The assets under management (AUM) of United Planners' Financial Services Of America A Limited Partner is $3.21 billion. The firm's AUM has grown by 1051% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $333.56 million in discretionary accounts and $2.87 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $145.34 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $156.54 thousand.

United Planners' Financial Services Of America A Limited Partner has custody of $744.59 million in cash and securities for 3,770 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 87% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 8% of the firm’s portfolio. Investments in investment and business development companies form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay United Planners' Financial Services Of America A Limited Partner for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients David Alan Shindel serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of David Alan Shindel is individuals with 17,922 clients and $2.23 billion of assets under management. Among the 9 most similar advisory firms, United Planners' Financial Services Of America A Limited Partner has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $3.21 billion for 20,657 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

United Planners' Financial Services Of America A Limited Partner doesn't advise any private funds.

Careers at United Planners' Financial Services Of America A Limited Partner

The company employs 515 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 239 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

David Alan Shindel has been acting as President since 1 Jul 2005. Michael A Baker joined the executive team most recently as the President.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. United Planners' Group	General partner	1 Aug 1987	75% - 100%	86-0586944
Thomas Carl Schaefer	Executive vice president, director of upg	1 Aug 1987	Other	xxx-xx-xxxx
Jeannette Ann Vernia	Vice president, marketing	1 Dec 1988	Other	1098480
Thomas Henry Oliver	Chief executive officer (ceo)	1 Jul 1999	Other	867696
Julie Jane Gebert	Cheif compliance officer (cco)	1 Nov 2000	Other	2195764
David Alan Shindel	President	1 Jul 2005	Other	4520784
Michael A Baker	Executive vice president finance, chief financial officer (cfo)	1 Jul 2005	Other	4037933
Douglas Christopher Hall	Vice president compliance, chief compliance officer (cco)	1 May 2007	Other	2577937
Kenneth William Jr Oliverio	Vice president, investment advisory services	1 Jan 2013	Other	2957427
Dave B Hauer	Vice president compliance, chief compliance officer	1 Jul 2018	Other	4018434
Michael A Baker	President	1 Aug 2018	Other	4037933
Kenneth William Jr Oliverio	Executive vice president, chief marketing officer	1 Aug 2018	Other	2957427
Chad Travis Shindel	Vice president, chief financial officer (cfo)	1 Aug 2018	Other	6232253
Sheila June Cuffari Agasi	Executive vice president	1 Aug 2018	Other	2401020

Indirect Owners

The SEC currently registers 11 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Pacific Life Insurance Co.	Life insurance co.	1 Nov 1987	75% - 100%	95-1079000
Inc. Pacific Select Distributors	Broker/dealer	1 Nov 1987	75% - 100%	4452
Inc. Pacific Select Distributors	Holding co.	1 Sep 1997	75% - 100%	33-0769202
Pacific Life Corp.	Holding company	1 Sep 1997	75% - 100%	33-0769203
Pacific Mutual Holding Company	Holding company	1 Sep 1997	75% - 100%	33-0769202
Pacific Life Insurance Co	Holding company	1 Dec 2005	75% - 100%	105169
Llc Pacific Select Group	Holding company	1 Dec 2005	75% - 100%	95-1079000
Thomas Henry Oliver	Chief executive office (ceo)	1 Sep 2007	25% - 50%	867696
David Alan Shindel	President	1 Sep 2007	25% - 50%	4520784
Michael A Baker	Executive vice president finance / chief financial officer (cfo)	1 Sep 2007	Other	4037933
Llc Western Financial Holdings	Holding company	1 Sep 2007	75% - 100%	26-0256845

Based in Scottsdale

The principal office where United Planners' Financial Services Of America A Limited Partner performs its advisory services is located at 7333 East Doubletree Ranch Rd, Suite 120, Scottsdale, AZ 85258 The mailing address of the firm is P.O. Box 5750, Scottsdale, AZ 85261. An additional office of the firm is in Columbia, MD. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 480-991-0225 or by fax 480-991-2714. The normal business hours are 6:30am to 5:00pm on Monday - Friday. You can find more information about the New York firm at unitedplanners.com.