UNITED ADVISORS AMERICA CORPORATION of PROSPER, TX is an SEC-registered investment adviser (CRD 147350). Regulatory assets under management: $446.5M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Boyles Kevin | MEMBER | Ventura, CA |
| Richard Lynn Follett | MANAGING MEMBER; PRESIDENT; VICE PRESIDENT AND SECRETARY | — |
| Aubrey Marie Paganelli | CHIEF OPERATING OFFICER | — |
| Richard L Follett | MEMBER | — |
| James Kevin Boyles | MEMBER | — |
| Beau R Follett | MEMBER | — |
| Vincent Salvatore Ammirato | CHIEF COMPLIANCE OFFICER | — |
| FOLLETT RICHARD LYNN | CHIEF COMPLIANCE OFFICER; MANAGING MEMBER; MEMBER (+2 more) | — |
| FOLLETT RICHARD L | MEMBER | — |
| FOLLETT BEAU R | MEMBER | — |
| PAGANELLI AUBREY MARIE | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER/ CHIEF COMPLIANCE OFFICER | — |
| Peddicord Price Barton | CHIEF COMPLIANCE OFFICER | — |
| AMMIRATO VINCENT SALVATORE | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-02-06 | civil | BREACH OF FIDUCIARY DUTY, VIOLATION OF WISCONSIN UNIFORM SECURITIES ACT, NEGLIGENCE | Pending | — |