UNITED CAPITAL INVESTMENT ADVISERS, INC
CRD #134627 SEC #801-64375 NEWPORT BEACH, CA 949-706-6444
SEC Registered
Total AUM
$96M
Discretionary
$96M
Employees
10
Clients
--
Accounts
75
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 9, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| FISHBEIN, NANCY, MORRISON | I | CFO/TREASURER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| ROTH, GARY, LAWRENCE | I | CHIEF OPERATING OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| WESTMAN, CARYN, LEE | I | CORPORATE SECRETARY, CCO | NA | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCIA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCIA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCIA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCIA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCIA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | SOLE SHAREHOLDER OF UCIA | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| UNITED CAPITAL FINANCIAL PARTNERS, INC. | DE | OWNER | E | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| BOMMARITO, PATRICK, MATTHEW | I | DIRECTOR, INVESTMENT COMMITTEE MEMBER | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DOEDE, ROBERT, WILLIAM | I | DIRECTOR | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | B | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | PRESIDENT, INVESTMENT COMMITTEE MEMBER | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | PMB LIVING TRUST DATED 8-3-95 | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| BOMMARITO, PATRICK, MATTHEW | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| DURAN, JOSEPH, JOHN THOMAS | I | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
| PMB LIVING TRUST DATED 8-3-95 | DE | UNITED CAPITAL FINANCIAL PARTNERS, INC. | C | Control |
Registrations
Federal
IA
Feb 9, 2007 REGISTERED
Notice Filings (38)
AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD MI MN MT NC NH NJ NM NV NY OH OK OR PA SC TN TX VA WA WI
Address
450 NEWPORT CENTER DRIVESUITE 400
NEWPORT BEACH, CA 92660-7660
USA
Phone: 949-706-6444