UNITED CAPITAL FINANCIAL ADVISORS, LLC — 13F Holdings & Portfolio
CIK 1463217 · latest 13F-HR filed 2026-08-17
UNITED CAPITAL FINANCIAL ADVISORS, LLC manages $18.15B in 13F-reported U.S. long-equity assets across 1,622 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are IVV (6.36%), VOO (6.08%), SPY (3.05%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 127 new positions and exited 141; 792 existing positions rose in reported value and 430 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$18.15B
Long-equity book
Holdings
1,622
Distinct positions
Period
2026-06-30
Filed 2026-08-17
Q/Q Activity
+127 / −141 / ↑792 / ↓430
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26IVV6.4% · +13%VOO6.1% · -0%SPY3.1% · -3%AAPL2.8% · -0%IEFA2.7% · -1%NVDA2.4% · +2%RGEN2.1% · +1%VTV1.7% · -1%BIV1.7% · +8%MSFT1.6% · +1%VUG1.6% · +488%GOOGL1.5% · -5%IEMG1.4% · -16%IUSB1.3% · +25%GOVT1.3% · +2%GOOG1.0% · -2%QQQ1.0% · +2%IJR0.9% · -4%AMZN0.9% · +1%SHDG0.9% · -3%IVW0.9% · +2%HEFA0.8% · -6%MBB0.8% · +6%BSV0.8% · -5%PYLD0.8% · +12%BRK.B0.7% · -1%IVE0.7% · -14%DYNF0.7% · +4%JPM0.7% · +1%DBEF0.7% · -4%SPMD0.6% · +4%IGIB0.6% · +1%SCHG0.5% · -0%V0.5% · +1%AVGO0.5% · +9%GBND0.5% · +10%ASML0.5% · -2%LLY0.5% · +23%META0.5% · +1%JNJ0.5% · -6%CSCO0.5% · -2%QUAL0.5% · -39%IYW0.4% · -0%AGG0.4% · +3%COST0.4% · -1%MUB0.4% · +7%BAI0.4% · -16%EFG0.4% · +8%SHM0.4% · -4%SCHF0.4% · -2%MOAT0.4% · +1%ABBV0.4% · -0%VBR0.3% · -5%SCHD0.3% · +0%QCOM0.3% · -5%JPST0.3% · -5%DIS0.3% · -3%MTUM0.3% · -22%AMD0.3% · +3%VNQ0.3% · -4%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q1 26 → Q2 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 30.5%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Jun 15, 2026.
Assets Under Management
$24.65B
Discretionary
$22.50B
Employees
289
Accounts
45,106
Address
125 E JOHN CARPENTER FRWY
SUITE 1300
IRVING, TX 75062
SUITE 1300
IRVING, TX 75062
Phone
(972) 822-2055
This firm reports 1 disclosure item on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| LARIMORE, SONJA, LEANN Control | CHIEF COMPLIANCE OFFICER since Nov 2023 | Less than 5% | Individual |
| MCDOWELL, BRIAN, MICHAEL Control | CHIEF INVESTMENT OFFICER since Sep 2025 | Less than 5% | Individual |
| MLENEK, ROBERT, ARTHUR Control | CHIEF FINANCIAL OFFICER since Nov 2023 | Less than 5% | Individual |
| RIVERS, JAMES, FRANCIS Control | PRESIDENT since Nov 2023 | Less than 5% | Individual |
| UNITED CAPITAL FINANCIAL PARTNERS, LLC Control | SOLE MEMBER AND MANAGER since Nov 2004 | 75% or more | Domestic Entity |
| SEILER, JONATHAN, DAVID | HEAD OF OPERATIONS since Nov 2023 | Less than 5% | Individual |
| CPI HOLDCO A, LLC Control Indirect owner via CPI HOLDCO B, LLC | SOLE MEMBER since Jan 2020 | 75% or more | Domestic Entity |
| CPI HOLDCO B, LLC Control Indirect owner via UNITED CAPITAL FINANCIAL PARTNERS, LLC | SOLE MEMBER since Nov 2023 | 75% or more | Domestic Entity |
| CREATIVE PLANNING (CPI) HOLDCO, INC. Control Indirect owner via CREATIVE PLANNING HOLDCO, LLC | MEMBER since Jan 2020 | 75% or more | Domestic Entity |
| CREATIVE PLANNING HOLDCO, LLC Control Indirect owner via CPI HOLDCO A, LLC | SOLE MEMBER since Jan 2020 | 75% or more | Domestic Entity |
| CREATIVE PLANNING TRUST COMPANY, LLC Control Indirect owner via MJG IRREVOCABLE CP TRUST DTD 01/01/2014 | TRUSTEE since Nov 2024 | General partner, trustee or manager | Domestic Entity |
| MALLOUK, PETER, ALEX Control Indirect owner via PETER MALLOUK TRUST DTD 07/17/2002 | TRUSTEE since Jul 2002 | General partner, trustee or manager | Individual |
| MJG IRREVOCABLE CP TRUST DTD 01/01/2014 Control Indirect owner via CREATIVE PLANNING (CPI) HOLDCO, INC. | STOCKHOLDER since Jan 2020 | 25–50% | Domestic Entity |
| PETER MALLOUK TRUST DTD 07/17/2002 Control Indirect owner via CREATIVE PLANNING (CPI) HOLDCO, INC. | STOCKHOLDER since Jan 2020 | 50–75% | Domestic Entity |
| TPG CARDIFF INVESTMENT HOLDINGS I, L.P. Control Indirect owner via TPG IX CARDIFF DEBT HOLDCO I, LLC | SOLE MEMBER since Jan 2025 | 75% or more | Domestic Entity |
| TPG INC. Control Indirect owner via TPG IX CARDIFF CI II, L.P. | CONTROLLING MEMBER since Sep 2024 | 50–75% | Domestic Entity |
| TPG IX CARDIFF BDH, L.P. Control Indirect owner via TPG IX CARDIFF CI BL, LLC | SOLE MEMBER since Sep 2024 | 75% or more | Domestic Entity |
| TPG IX CARDIFF BL, LLC Control Indirect owner via TPG IX CARDIFF HOLDINGS I, L.P. | MEMBER since Sep 2024 | 50–75% | Domestic Entity |
| TPG IX CARDIFF CI BL, LLC Control Indirect owner via TPG CARDIFF INVESTMENT HOLDINGS I, L.P. | MEMBER since Sep 2024 | 50–75% | Domestic Entity |
| TPG IX CARDIFF CI II, L.P. Control Indirect owner via TPG IX CARDIFF BDH, L.P. | SOLE MEMBER since Oct 2024 | 75% or more | Domestic Entity |
| TPG IX CARDIFF DEBT HOLDCO I, LLC Control Indirect owner via CREATIVE PLANNING HOLDCO, LLC | MEMBER since Jan 2025 | 25–50% | Domestic Entity |
| TPG IX CARDIFF HOLDINGS I, L.P. Control Indirect owner via TPG CARDIFF INVESTMENT HOLDINGS I, L.P. | MEMBER since Sep 2024 | 25–50% | Domestic Entity |
| TPG IX FINCO I, L.P. Control Indirect owner via TPG IX CARDIFF BL, LLC | MEMBER since Sep 2024 | 75% or more | Domestic Entity |
| TPG IX FINCO II, L.P. Control Indirect owner via TPG IX CARDIFF HOLDINGS I, L.P. | MEMBER since Sep 2024 | 50–75% | Domestic Entity |
| TPG PARTNERS IX, L.P. Control Indirect owner via TPG IX FINCO I, L.P. | SOLE MEMBER since Oct 2022 | 75% or more | Domestic Entity |
| TPG PARTNERS IX, L.P. Control Indirect owner via TPG IX FINCO II, L.P. | SOLE MEMBER since Oct 2022 | 75% or more | Domestic Entity |
Ownership & leadership changes · 20 filings with changes since Dec 9, 2011
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Mar 31, 2026 filing
- No longer listedCREATIVE PLANNING TRUST COMPANY, LLC · TRUSTEE · General partner, trustee or manager · indirect via MJG IRREVOCABLE TRUST DTD 01/01/2014 · control person · listed since Nov 2024
- No longer listedMJG IRREVOCABLE TRUST DTD 01/01/2014 · STOCKHOLDER · 25–50% · indirect via CREATIVE PLANNING (CPI) HOLDCO, INC. · control person · listed since Nov 2023
- No longer listedSALDANHA, MELROY, JOHAN · CHIEF TECHNOLOGY OFFICER · Less than 5% · control person · listed since Nov 2023
- AddedCREATIVE PLANNING TRUST COMPANY, LLC · TRUSTEE · General partner, trustee or manager · indirect via MJG IRREVOCABLE CP TRUST DTD 01/01/2014 · control person
- AddedMJG IRREVOCABLE CP TRUST DTD 01/01/2014 · STOCKHOLDER · 25–50% · indirect via CREATIVE PLANNING (CPI) HOLDCO, INC. · control person
Oct 2, 2025 filing
- No longer listedSALB, FRANKLIN, WAYNE · CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since Nov 2023
- AddedMCDOWELL, BRIAN, MICHAEL · CHIEF INVESTMENT OFFICER · Less than 5% · control person
Mar 28, 2025 filing
- No longer listedMALLOUK, ALEXANDER, GEORGE · TRUSTEE · General partner, trustee or manager · indirect via MJG IRREVOCABLE TRUST DTD 01/01/2014 · control person · listed since Jan 2014
- AddedCREATIVE PLANNING TRUST COMPANY, LLC · TRUSTEE · General partner, trustee or manager · indirect via MJG IRREVOCABLE TRUST DTD 01/01/2014 · control person
- AddedTPG CARDIFF INVESTMENT HOLDINGS I, L.P. · SOLE MEMBER · 75% or more · indirect via TPG IX CARDIFF DEBT HOLDCO I, LLC · control person
- AddedTPG INC. · CONTROLLING MEMBER · 50–75% · indirect via TPG IX CARDIFF CI II, L.P. · control person
- AddedTPG IX CARDIFF BDH, L.P. · SOLE MEMBER · 75% or more · indirect via TPG IX CARDIFF CI BL, LLC · control person
- AddedTPG IX CARDIFF BL, LLC · MEMBER · 50–75% · indirect via TPG IX CARDIFF HOLDINGS I, L.P. · control person
- AddedTPG IX CARDIFF CI BL, LLC · MEMBER · 50–75% · indirect via TPG CARDIFF INVESTMENT HOLDINGS I, L.P. · control person
- AddedTPG IX CARDIFF CI II, L.P. · SOLE MEMBER · 75% or more · indirect via TPG IX CARDIFF BDH, L.P. · control person
- AddedTPG IX CARDIFF DEBT HOLDCO I, LLC · MEMBER · 25–50% · indirect via CREATIVE PLANNING HOLDCO, LLC · control person
- AddedTPG IX CARDIFF HOLDINGS I, L.P. · MEMBER · 25–50% · indirect via TPG CARDIFF INVESTMENT HOLDINGS I, L.P. · control person
- AddedTPG IX FINCO I, L.P. · MEMBER · 75% or more · indirect via TPG IX CARDIFF BL, LLC · control person
- AddedTPG IX FINCO II, L.P. · MEMBER · 50–75% · indirect via TPG IX CARDIFF HOLDINGS I, L.P. · control person
- AddedTPG PARTNERS IX, L.P. · SOLE MEMBER · 75% or more · indirect via TPG IX FINCO I, L.P. · control person
- AddedTPG PARTNERS IX, L.P. · SOLE MEMBER · 75% or more · indirect via TPG IX FINCO II, L.P. · control person
Nov 6, 2023 filing
- No longer listedFOX, DAVID, ASHLEY · PRESIDENT · Less than 5% · control person · listed since Mar 2023
- No longer listedIMD HOLDINGS, LLC · SOLE MEMBER AND MANAGER · 75% or more · indirect via UNITED CAPITAL FINANCIAL PARTNERS, INC. · control person · listed since Jul 2019
- No longer listedLUKS, SHELLEY, M · TREASURER · Less than 5% · listed since Jul 2019
- No longer listedPOULSON, NICOLE, MARIE · CHIEF OPERATING OFFICER, SECRETARY · Less than 5% · control person · listed since May 2022
- No longer listedRESTIERI, LAWRENCE, JOSEPH · VICE PRESIDENT · Less than 5% · control person · listed since Jan 2022
- No longer listedSPENCER, STEVEN · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Oct 2019
- No longer listedTHE GOLDMAN SACHS GROUP, INC. · SOLE MEMBER AND MANAGER · 75% or more · indirect via IMD HOLDINGS, LLC · control person · listed since Jul 2019
- No longer listedUNITED CAPITAL FINANCIAL PARTNERS, INC. · SOLE MEMBER AND MANAGER · 75% or more · control person · listed since Nov 2004
- AddedCPI HOLDCO A, LLC · SOLE MEMBER · 75% or more · indirect via CPI HOLDCO B, LLC · control person
- AddedCPI HOLDCO B, LLC · SOLE MEMBER · 75% or more · indirect via UNITED CAPITAL FINANCIAL PARTNERS, LLC · control person
- AddedCREATIVE PLANNING (CPI) HOLDCO, INC. · MEMBER · 75% or more · indirect via CREATIVE PLANNING HOLDCO, LLC · control person
- AddedCREATIVE PLANNING HOLDCO, LLC · SOLE MEMBER · 75% or more · indirect via CPI HOLDCO A, LLC · control person
- AddedLARIMORE, SONJA, LEANN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- AddedMALLOUK, ALEXANDER, GEORGE · TRUSTEE · General partner, trustee or manager · indirect via MJG IRREVOCABLE TRUST DTD 01/01/2014 · control person
- AddedMALLOUK, PETER, ALEX · TRUSTEE · General partner, trustee or manager · indirect via PETER MALLOUK TRUST DTD 07/17/2002 · control person
- AddedMJG IRREVOCABLE TRUST DTD 01/01/2014 · STOCKHOLDER · 25–50% · indirect via CREATIVE PLANNING (CPI) HOLDCO, INC. · control person
- AddedMLENEK, ROBERT, ARTHUR · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- AddedPETER MALLOUK TRUST DTD 07/17/2002 · STOCKHOLDER · 50–75% · indirect via CREATIVE PLANNING (CPI) HOLDCO, INC. · control person
- AddedRIVERS, JAMES, FRANCIS · PRESIDENT · Less than 5% · control person
- AddedSALB, FRANKLIN, WAYNE · CHIEF INVESTMENT OFFICER · Less than 5% · control person
- AddedSALDANHA, MELROY, JOHAN · CHIEF TECHNOLOGY OFFICER · Less than 5% · control person
- AddedSEILER, JONATHAN, DAVID · HEAD OF OPERATIONS · Less than 5%
- AddedUNITED CAPITAL FINANCIAL PARTNERS, LLC · SOLE MEMBER AND MANAGER · 75% or more · control person
Mar 31, 2023 filing
- No longer listedDURAN, JOSEPH, JOHN · PRESIDENT · Less than 5% · control person · listed since Jul 2019
- No longer listedHEMSTEAD, CHRISTOPHER · VICE PRESIDENT · Less than 5% · listed since Jan 2021
- No longer listedPFEIFFER, NATASHA, IRINA · COUNSEL & SECRETARY · Less than 5% · control person · listed since Jul 2019
- AddedFOX, DAVID, ASHLEY · PRESIDENT · Less than 5% · control person
- ChangedPOULSON, NICOLE, MARIE · title CHIEF OPERATING OFFICER → CHIEF OPERATING OFFICER, SECRETARY
May 20, 2022 filing
- AddedPOULSON, NICOLE, MARIE · CHIEF OPERATING OFFICER · Less than 5% · control person
- ChangedDURAN, JOSEPH, JOHN · title MANAGING DIRECTOR → PRESIDENT
- ChangedHEMSTEAD, CHRISTOPHER · title CHIEF OPERATING OFFICER → VICE PRESIDENT
- ChangedRESTIERI, LAWRENCE, JOSEPH · title MANAGING DIRECTOR → VICE PRESIDENT
Mar 31, 2022 filing
- No longer listedCAPELLE, MICHAEL, JOHN · MANAGING DIRECTOR, CHIEF PLATFORM OFFICER · Less than 5% · control person · listed since Jul 2019
- No longer listedROTH, GARY, LAWRENCE · MANAGING DIRECTOR, CHIEF BUSINESS OFFICER · Less than 5% · control person · listed since Jul 2019
- AddedRESTIERI, LAWRENCE, JOSEPH · MANAGING DIRECTOR · Less than 5% · control person
- ChangedDURAN, JOSEPH, JOHN · title MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER → MANAGING DIRECTOR
- ChangedHEMSTEAD, CHRISTOPHER · title MANAGING DIRECTOR, CHIEF OPERATING OFFICER → CHIEF OPERATING OFFICER
- ChangedLUKS, SHELLEY, M · title MANAGING DIRECTOR, TREASURER → TREASURER
- ChangedPFEIFFER, NATASHA, IRINA · title COUNSEL, SECRETARY → COUNSEL & SECRETARY
- ChangedSPENCER, STEVEN · title VICE PRESIDENT, CHIEF COMPLIANCE OFFICER → CHIEF COMPLIANCE OFFICER
Mar 31, 2021 filing
- No longer listedBERNAL, JORGE, A · MANAGING DIRECTOR, CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Jul 2019
- AddedHEMSTEAD, CHRISTOPHER · MANAGING DIRECTOR, CHIEF OPERATING OFFICER · Less than 5%
- AddedLUKS, SHELLEY, M · MANAGING DIRECTOR, TREASURER · Less than 5%
- ChangedCAPELLE, MICHAEL, JOHN · title MANAGING DIRECTOR → MANAGING DIRECTOR, CHIEF PLATFORM OFFICER
- ChangedPFEIFFER, NATASHA, IRINA · title COUNSEL → COUNSEL, SECRETARY
- ChangedROTH, GARY, LAWRENCE · title MANAGING DIRECTOR → MANAGING DIRECTOR, CHIEF BUSINESS OFFICER
Mar 30, 2020 filing
- No longer listedHERMAN, MICHAEL, ANSON · VICE PRESIDENT, CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Jul 2019
- AddedSPENCER, STEVEN · VICE PRESIDENT, CHIEF COMPLIANCE OFFICER · Less than 5%
Aug 15, 2019 filing
- No longer listedBECK, KRISTINA, CHEH · CHIEF LEGAL OFFICER & CORPORATE SECRETARY · Less than 5% · control person · listed since Jan 2017
- No longer listedFROJEN, JON, COLIN · CHIEF FINANCIAL OFFICER AND TREASURER · Less than 5% · control person · listed since Jan 2016
- No longer listedHALLMAN, DAVID, LAMAR · SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER · Less than 5% · listed since Jan 2013
- No longer listedMURPHY, KARA, MARIE · CHIEF INVESTMENT OFFICER · Less than 5% · control person · listed since May 2018
- AddedIMD HOLDINGS, LLC · SOLE MEMBER AND MANAGER · 75% or more · indirect via UNITED CAPITAL FINANCIAL PARTNERS, INC. · control person
- AddedPFEIFFER, NATASHA, IRINA · COUNSEL · Less than 5% · control person
- AddedTHE GOLDMAN SACHS GROUP, INC. · SOLE MEMBER AND MANAGER · 75% or more · indirect via IMD HOLDINGS, LLC · control person
- ChangedBERNAL, JORGE, A · title CHIEF OPERATING OFFICER → MANAGING DIRECTOR, CHIEF OPERATING OFFICER
- ChangedCAPELLE, MICHAEL, JOHN · title DIRECTOR, CHIEF PLATFORM OFFICER → MANAGING DIRECTOR
- ChangedDURAN, JOSEPH, JOHN · title DIRECTOR, CHIEF EXECUTIVE OFFICER → MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER
- ChangedHERMAN, MICHAEL, ANSON · title CHIEF COMPLIANCE OFFICER → VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
- ChangedROTH, GARY, LAWRENCE · title DIRECTOR, CHIEF BUSINESS OFFICER → MANAGING DIRECTOR
- ChangedUNITED CAPITAL FINANCIAL PARTNERS, INC. · title SOLE SHAREHOLDER OF UCFA → SOLE MEMBER AND MANAGER
Older changes (11 more filings)
Mar 29, 2019 filing
- AddedMURPHY, KARA, MARIE · CHIEF INVESTMENT OFFICER · Less than 5% · control person
Mar 29, 2018 filing
- ChangedDURAN, JOSEPH, JOHN · title DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT OVERSIGHT COMMITTEE MEMBER → DIRECTOR, CHIEF EXECUTIVE OFFICER
Aug 14, 2017 filing
- AddedBERNAL, JORGE, A · CHIEF OPERATING OFFICER · Less than 5% · control person
- ChangedDURAN, JOSEPH, JOHN · title DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER → DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT OVERSIGHT COMMITTEE MEMBER
- ChangedHALLMAN, DAVID, LAMAR · title SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER → SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER
Mar 30, 2017 filing
- ChangedBECK, KRISTINA, CHEH · title GENERAL COUNSEL AND CORPORATE SECREARY → CHIEF LEGAL OFFICER & CORPORATE SECRETARY
- ChangedCAPELLE, MICHAEL, JOHN · title DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER → DIRECTOR, CHIEF PLATFORM OFFICER
- ChangedROTH, GARY, LAWRENCE · title DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER → DIRECTOR, CHIEF BUSINESS OFFICER
Mar 30, 2016 filing
- AddedBECK, KRISTINA, CHEH · GENERAL COUNSEL AND CORPORATE SECREARY · Less than 5% · control person
- AddedFROJEN, JON, COLIN · CHIEF FINANCIAL OFFICER AND TREASURER · Less than 5% · control person
- ChangedCAPELLE, MICHAEL, JOHN · title CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER → DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER; now a control person
- ChangedROTH, GARY, LAWRENCE · title DIRECTOR, CHIEF FINANCIAL OFFICER → DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER
Mar 31, 2015 filing
- ChangedCAPELLE, MICHAEL, JOHN · title SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER → CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER
Oct 10, 2014 filing
- ChangedHERMAN, MICHAEL, ANSON · title CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT → CHIEF COMPLIANCE OFFICER
Mar 31, 2014 filing
- AddedHALLMAN, DAVID, LAMAR · SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER · Less than 5%
Nov 16, 2012 filing
- ChangedCAPELLE, MICHAEL, JOHN · title SENIOR VICE PRESIDENT → SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER
Mar 30, 2012 filing
- AddedCAPELLE, MICHAEL, JOHN · SENIOR VICE PRESIDENT · Less than 5%
Dec 9, 2011 filing (earliest on record)
- ListedDURAN, JOSEPH, JOHN · DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER · Less than 5% · control person
- ListedHERMAN, MICHAEL, ANSON · CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT · Less than 5%
- ListedROTH, GARY, LAWRENCE · DIRECTOR, CHIEF FINANCIAL OFFICER · Less than 5% · control person
- ListedUNITED CAPITAL FINANCIAL PARTNERS, INC. · SOLE SHAREHOLDER OF UCFA · 75% or more · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- ISHARES TR$265.8M +29.9%
- VANGUARD INDEX FDS$141.6M +14.7%
- NVIDIA CORPORATION$65.2M +17.5%
- APPLE INC$60.3M +13.5%
- STATE STR SPDR S&P 500 ETF T$56.0M +11.3%
Top Trims
- ISHARES TR-$47.7M -56.5%
- ISHARES TR-$37.5M -81.6%
- ISHARES TR-$36.1M -30.3%
- HONEYWELL INTL INC-$33.1M -98.8%
- BLACKROCK ETF TRUST II-$21.4M -46.6%
New Positions
- BLACKROCK ETF TRUST$44.2M
- BLACKROCK ETF TRUST$40.1M
- BLACKROCK ETF TRUST II$35.1M
- HONEYWELL AEROSPACE INC$19.0M
- HONEYWELL INTL INC$19.0M
Exited Positions
- THOMSON REUTERS CORP$4.7M
- DUPONT DE NEMOURS INC$1.9M
- ISHARES TR$1.3M
- CARNIVAL CORP$950.6K
- ISHARES TR$842.4K
UNITED CAPITAL FINANCIAL ADVISORS, LLC Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | ISHARES TR | IVV | 464287200 | $1.15B | 6.36% | 1,541,045 | SH |
| 2 | VANGUARD INDEX FDS | VOO | 922908363 | $1.10B | 6.08% | 1,606,745 | SH |
| 3 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $553.1M | 3.05% | 740,299 | SH |
| 4 | APPLE INC | AAPL | 037833100 | $507.6M | 2.80% | 1,754,234 | SH |
| 5 | ISHARES TR | IEFA | 46432F842 | $485.9M | 2.68% | 5,029,440 | SH |
| 6 | NVIDIA CORPORATION | NVDA | 67066G104 | $438.8M | 2.42% | 2,192,820 | SH |
| 7 | REPLIGEN CORP | RGEN | 759916109 | $380.8M | 2.10% | 2,790,650 | SH |
| 8 | VANGUARD INDEX FDS | VTV | 922908744 | $308.4M | 1.70% | 1,414,717 | SH |
| 9 | VANGUARD BD INDEX FDS | BIV | 921937819 | $306.4M | 1.69% | 3,995,262 | SH |
| 10 | MICROSOFT CORP | MSFT | 594918104 | $290.7M | 1.60% | 779,208 | SH |
| 11 | VANGUARD INDEX FDS | VUG | 922908736 | $281.4M | 1.55% | 3,261,088 | SH |
| 12 | ALPHABET INC | GOOGL | 02079K305 | $268.8M | 1.48% | 752,247 | SH |
| 13 | ISHARES INC | IEMG | 46434G103 | $250.0M | 1.38% | 3,012,189 | SH |
| 14 | ISHARES TR | IUSB | 46434V613 | $236.8M | 1.30% | 5,132,935 | SH |
| 15 | ISHARES TR | GOVT | 46429B267 | $230.6M | 1.27% | 10,130,922 | SH |
| 16 | ALPHABET INC | GOOG | 02079K107 | $176.9M | 0.97% | 500,598 | SH |
| 17 | INVESCO QQQ TR | QQQ | 46090E103 | $174.9M | 0.96% | 237,452 | SH |
| 18 | ISHARES TR | IJR | 464287804 | $166.0M | 0.91% | 1,119,614 | SH |
| 19 | AMAZON COM INC | AMZN | 023135106 | $161.5M | 0.89% | 677,750 | SH |
| 20 | ADVISOR MANAGED PORTFOLIOS | SHDG | 00777X603 | $156.4M | 0.86% | 4,789,549 | SH |
| 21 | ISHARES TR | IVW | 464287309 | $154.7M | 0.85% | 1,124,043 | SH |
| 22 | ISHARES TR | HEFA | 46434V803 | $146.7M | 0.81% | 3,126,452 | SH |
| 23 | ISHARES TR | MBB | 464288588 | $142.8M | 0.79% | 1,509,344 | SH |
| 24 | VANGUARD BD INDEX FDS | BSV | 921937827 | $142.0M | 0.78% | 1,823,344 | SH |
| 25 | PIMCO ETF TR | PYLD | 72201R585 | $136.7M | 0.75% | 5,161,831 | SH |
| 26 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $133.1M | 0.73% | 266,085 | SH |
| 27 | ISHARES TR | IVE | 464287408 | $128.4M | 0.71% | 565,412 | SH |
| 28 | BLACKROCK ETF TRUST | DYNF | 09290C103 | $124.5M | 0.69% | 1,829,101 | SH |
| 29 | JPMORGAN CHASE & CO | JPM | 46625H100 | $122.4M | 0.67% | 373,822 | SH |
| 30 | DBX ETF TR | DBEF | 233051200 | $119.6M | 0.66% | 2,194,902 | SH |
| 31 | SPDR SERIES TRUST | SPMD | 78464A847 | $100.7M | 0.55% | 1,492,239 | SH |
| 32 | ISHARES TR | IGIB | 464288638 | $99.9M | 0.55% | 1,879,524 | SH |
| 33 | SCHWAB STRATEGIC TR | SCHG | 808524300 | $98.1M | 0.54% | 2,898,121 | SH |
| 34 | VISA INC | V | 92826C839 | $97.1M | 0.53% | 283,047 | SH |
| 35 | BROADCOM INC | AVGO | 11135F101 | $96.4M | 0.53% | 255,126 | SH |
| 36 | GOLDMAN SACHS ETF TR | GBND | 38149W473 | $96.3M | 0.53% | 1,907,521 | SH |
| 37 | ASML HLDG NV | ASML | N07059210 | $93.1M | 0.51% | 46,773 | SH |
| 38 | ELI LILLY & CO | LLY | 532457108 | $89.6M | 0.49% | 74,694 | SH |
| 39 | META PLATFORMS INC | META | 30303M102 | $88.6M | 0.49% | 157,362 | SH |
| 40 | JOHNSON & JOHNSON | JNJ | 478160104 | $87.8M | 0.48% | 345,519 | SH |
| 41 | CISCO SYS INC | CSCO | 17275R102 | $87.5M | 0.48% | 745,008 | SH |
| 42 | ISHARES TR | QUAL | 46432F339 | $82.8M | 0.46% | 376,567 | SH |
| 43 | ISHARES TR | IYW | 464287721 | $80.6M | 0.44% | 319,172 | SH |
| 44 | ISHARES TR | AGG | 464287226 | $80.3M | 0.44% | 810,957 | SH |
| 45 | COSTCO WHOLESALE CORPORATION | COST | 22160K105 | $74.6M | 0.41% | 79,741 | SH |
| 46 | ISHARES TR | MUB | 464288414 | $70.4M | 0.39% | 655,019 | SH |
| 47 | BLACKROCK ETF TRUST | BAI | 09290C780 | $67.2M | 0.37% | 1,275,000 | SH |
| 48 | ISHARES TR | EFG | 464288885 | $65.9M | 0.36% | 530,721 | SH |
| 49 | SPDR SERIES TRUST | SHM | 78468R739 | $65.1M | 0.36% | 1,357,212 | SH |
| 50 | SCHWAB STRATEGIC TR | SCHF | 808524805 | $64.4M | 0.36% | 2,339,155 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-17 | $18.15B | 1,622 | 0001463217-26-000004 |
| 2026-03-31 | 2026-05-15 | $16.26B | 1,632 | 0001463217-26-000002 |
| 2025-12-31 | 2026-02-17 | $16.61B | 1,370 | 0001463217-26-000001 |
| 2025-09-30 | 2025-11-14 | $13.93B | 1,203 | 0001463217-25-000012 |
Filer Information
Address
125 E JOHN CARPENTER FRWYSUITE 1300
IRVING, TX 75062
Phone
(972) 822-2055
Filing Manager
UNITED CAPITAL FINANCIAL ADVISORS, LLC
IRVING, TX
Signatory
NICHOLE HORTON
COMPLIANCE OFFICER