# UNITED CAPITAL FINANCIAL ADVISORS, LLC

UNITED CAPITAL FINANCIAL ADVISORS, LLC of IRVING, TX is an SEC-registered investment adviser.

## Registration

- CRD: 134600
- Type: SEC-registered investment adviser
- SEC file number: 801-64376
- Location: 125 E JOHN CARPENTER FRWY, SUITE 1300, IRVING, TX, 75062
- Phone: 972-822-2055
- Latest filing: 2026-06-15
- Regulatory AUM: $24.6B
- Discretionary AUM: $22.5B
- Non-discretionary AUM: $2.1B
- Clients: 289
- Accounts: 45,106

## Business model

- Compensation: % of AUM, Hourly, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Other

## Officers, owners & control persons (39)

_Showing 25 of 39 people._

| Name | Role | Location |
| --- | --- | --- |
| Peter Alex Mallouk | TRUSTEE | — |
| James Francis Rivers | PRESIDENT | — |
| Sonja Leann Larimore | CHIEF COMPLIANCE OFFICER | — |
| Robert Arthur Mlenek | CHIEF FINANCIAL OFFICER | — |
| Melroy Johan Saldanha | CHIEF TECHNOLOGY OFFICER | — |
| Jonathan David Seiler | HEAD OF OPERATIONS | — |
| Brian Michael Mcdowell | CHIEF INVESTMENT OFFICER | — |
| Franklin Wayne Salb | CHIEF INVESTMENT OFFICER | — |
| DURAN JOSEPH JOHN THOMAS | DIRECTOR; DIRECTOR, CEO; DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER (+1 more) | — |
| BOMMARITO PATRICK MATTHEW | DIRECTOR, CHIEF ARCHITECT OF CORPORATE STRATEGIES AND ADVICE; DIRECTOR, PRESIDENT; PRESIDENT (+3 more) | — |
| FISHBEIN NANCY MORRISON | CFO/TREASURER | — |
| WESTMAN CARYN LEE | CORPORATE SECRETARY, CCO; CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER; CORPORATE SECRETARY, SENIOR VICE PRESIDENT ENTERPRISE RISK MANAGEMENT | — |
| ROTH RALPH LAWRENCE | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER; DIRECTOR, CHIEF BUSINESS OFFICER (+5 more) | — |
| MURPHY DARLENE MARIE | CHIEF INVESTMENT OFFICER | — |
| DOEDE ROBERT WILLIAM | DIRECTOR | — |
| HERMAN MICHAEL ANSON | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | — |
| MALLOUK PETER ALEX | TRUSTEE | — |
| DURAN JOSEPH JOHN | DIRECTOR, CEO, INVESTMENT COMMITTEE MEMBER; DIRECTOR, CHIEF EXECUTIVE OFFICER; DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER (+4 more) | — |
| HALLMAN DAVID LAMAR | SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER; SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER | — |
| BECK KRISTINA CHEH | CHIEF LEGAL OFFICER & CORPORATE SECRETARY; GENERAL COUNSEL AND CORPORATE SECREARY | — |
| MALLOUK ALEXANDER GEORGE | TRUSTEE | — |
| CAPELLE MICHAEL JOHN | CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER; DIRECTOR, CHIEF PLATFORM OFFICER; DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER (+4 more) | — |
| FROJEN JON COLIN | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| HEMSTEAD CHRISTOPHER | CHIEF OPERATING OFFICER; MANAGING DIRECTOR, CHIEF OPERATING OFFICER; VICE PRESIDENT | — |
| Bernal Jorge A | CHIEF OPERATING OFFICER; MANAGING DIRECTOR, CHIEF OPERATING OFFICER | — |


## Disclosures (4)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/134600/brochure
- Similar advisers: https://search.stillhousedata.com/firm/134600/similar
- Related entities: https://search.stillhousedata.com/firm/134600/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/134600

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.