Uvest Financial Services Group, Inc. (Charlotte)

Uvest Financial Services Group, Inc. is a large advisory firm based in Charlotte. It manages $500 million of regulatory assets for 3,500 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Arizona, Arkansas, and 46 other states.

Uvest Financial Services Group provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and pension consulting services. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Uvest Financial Services Group: assets under management

The assets under management (AUM) of Uvest Financial Services Group, Inc. is $500 million. The firm's AUM has grown by 1421% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $94 million in discretionary accounts and $406 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $125.33 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $147.64 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Uvest Financial Services Group, Inc. for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Uvest Financial Services Group, Inc.

John Henry Robison has been acting as President since 1 Sep 1988. Jeffrey Claude Turner joined the executive team most recently as the Chief Compliance Officer Advisory.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Terri Lynn Payne	V.p. of operations	1 Apr 1983	Other	1355533
John Henry Robison	Director/ceo	1 Sep 1988	Other	1326657
Martha Barnes Robison	Director/shareholder/trustee of jhr family trust	1 Sep 1988	Other	1930077
John H. Robison Family Trust	Shareholder	1 Sep 1988	50% - 75%	56-6338615
John H. Family Trust Robison	Shareholder	1 Sep 1988	50% - 75%	56-6338615
Angela S Harrison	Shareholder	1 Dec 1992	Other	2303452
David Kenan Smith	Shareholder	1 Dec 1992	Other	2303443
Martha S Allen	Shareholder	1 Dec 1992	Other	2303451
E Hayes Smith	Shareholder	1 Dec 1992	Other	2303447
Miles James Smith	Shareholder	1 Dec 1992	Other	2303459
Miles James Iii Smith	Shareholder	1 Dec 1992	Other	2303459
Stephen Barnes Irrevocable Trust Robison	Shareholder	1 Dec 1992	Other	05-6133510
Michael Lon Vines	Cfo	1 Oct 1994	Other	2552188
James Judd Green	Chief inv. officer	1 Jan 1996	Other	1294287
Miles James Jr Smith	Director	1 Mar 1996	Other	xxx-xx-xxxx
Paul Haynesworth Robison	Director	1 Mar 1996	Other	xxx-xx-xxxx
Mary Yorke Robison	Director	1 Mar 1996	Other	xxx-xx-xxxx
Dan Hogan Jr Arnold	President/coo	1 Apr 1996	Other	2557410
Thomas Gerald Smith	V.p. of research	1 Mar 1997	Other	2057582
Thomas Bowden Lane	Senior v.p. of sales and marketing	1 Nov 1999	Other	1519722
Arthur David Osman	Vice president of compliance	1 Mar 2000	Other	2810418
Howard Thomas Henry	Vp-planning and investment management services	1 Jan 2001	Other	3230449
Michael Scott Gregson	Vp-planning and investment management services	1 Feb 2002	Other	2332354
Michele Elizabeth Ms. Falconer	Sr. manager finance	1 Dec 2002	Other	2712405
Michael Kenneth Serrato	Sr. manager compliance	1 Dec 2002	Other	2658511
Andy Barksdale	Sr. vice president	1 Jul 2003	Other	xxx-xx-xxxx
Andy Andrew Barksdale	Svp marketing/implementation; shareholder	1 Jul 2003	Other	xxx-xx-xxxx
Addison A Barksdale	Svp marketing; shareholder	1 Jul 2003	Other	4907288
Denise Maroon Abood	Svp, finance, compliance, human resources, technology	1 Jan 2004	Other	4763124
Charles Shay Iv Fry	Sr. vice president	1 Jul 2004	Other	2045127
Brent Andrew Peddy	Chief compliance officer	1 May 2005	Other	2400399
Esther Marion Stearns	Director	1 Dec 2006	Other	1088948
Charles William Maher	Director	1 Dec 2006	Other	2085378
Dan Hogan Jr Arnold	President and ceo	1 Jan 2007	Other	2557410
Terri Lynn Payne	Finop and vp operations	1 Jan 2007	Other	1355533
Mark Stephen Casady	Chairman of the board	1 Jan 2007	Other	2313239
James Francis Mcguire	Chief compliance officer	1 Jan 2007	Other	1270549
Inc. Lpl Holdings	Parent company	1 Jan 2007	75% - 100%	04-3046611
William Edward Iii Dwyer	Director	1 Jan 2007	Other	1274680
Addison A Barksdale	Executive vice president	1 Jun 2007	Other	4907288
Edward Bruce Miller	Executive vice president strategic account relationships	1 Mar 2008	Other	1680275
Stephen Lank	Svp broker-dealer support services	1 Apr 2008	Other	2997028
Kathleen Denise Vannoy Pineda	Evp and chief compliance officer of the broker-dealer	1 Jul 2008	Other	1347526
Christopher Thomas Zappala	Vp and chief compliance officer of the registered investment adviser	1 Jul 2008	Other	2713075
Phillip Buhay Valtairo	Finop	1 Jul 2008	Other	4481362
Robert Moore	Director	1 Sep 2008	Other	2445455
Dan Hogan Jr Arnold	Managing director and divisional president	1 May 2009	Other	2557410
Michael Scott Gregson	Svp trading	1 May 2009	Other	2332354
William Edward Iii Dwyer	Director, managing director and president of national sales and marketing	1 May 2009	Other	1274680
John Jerome Jr. Mcdermott	Managing director, chief enterprise risk officer	1 Sep 2009	Other	4025460
Christopher Mills Mitchell	Finop	1 Nov 2010	Other	2420144
Jeffrey Claude Turner	Chief compliance officer - advisory	1 Mar 2011	Other	3219934

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
L.P. Hellman & Friedman Capital Partners V	Stockholder	1 Dec 2005	25% - 50%	01-0818590
Llc. Hellman & Friedman Investors V	General partner	1 Dec 2005	Other	01-0818596
Inc. Tpg Advisors Iv	General partners	1 Dec 2005	Other	20-0348083
L.P. Tpg Genpar Iv	General partner	1 Dec 2005	Other	20-0347947
L.P. Tpg Partners Iv	Stockholder	1 Dec 2005	25% - 50%	20-0347894
Inc. Lpl Investment Holdings	Principal stockholder	1 Dec 2005	75% - 100%	20-3717839
David Nmi Bonderman	Stockholder	1 Dec 2005	25% - 50%	xxx-xx-xxxx
James George Coulter	Stockholder	1 Dec 2005	25% - 50%	xxx-xx-xxxx
Lpl Investment Holdings Inc.	Principal stockholder	1 Dec 2005	75% - 100%	20-3717839

Based in Charlotte

The principal office where Uvest Financial Services Group, Inc. performs its advisory services is located at 5 Coliseum Centre, Charlotte, NC 28217, which is also the mailing address of the firm. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 800-277-8802 or by fax 704-376-4476. The normal business hours are 8am-5pm on Monday - Friday.