CIK 1463217
Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2025-Q4. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.
Firm-level facts as reported by the adviser on Form ADV Part 1A (latest filing 2026-06-15). Regulatory assets under management (RAUM) is Form ADV's gross figure and can differ from a 13F long book — it includes private-fund assets, leverage and non-13(f) securities. Titles and figures as-filed. Latest ADV filing 2026-06-15. Form ADV ↗
| Name | Title (as filed) | Since | Ownership |
|---|---|---|---|
| LARIMORE, SONJA, LEANN | CHIEF COMPLIANCE OFFICER | 2023-11 | <5% ·◆ |
| MCDOWELL, BRIAN, MICHAEL | CHIEF INVESTMENT OFFICER | 2025-09 | <5% ·◆ |
| MLENEK, ROBERT, ARTHUR | CHIEF FINANCIAL OFFICER | 2023-11 | <5% ·◆ |
| RIVERS, JAMES, FRANCIS | PRESIDENT | 2023-11 | <5% ·◆ |
| SEILER, JONATHAN, DAVID | HEAD OF OPERATIONS | 2023-11 | <5% |
| UNITED CAPITAL FINANCIAL PARTNERS, LLCentity | SOLE MEMBER AND MANAGER | 2004-11 | 75%+ ·◆ |
Direct owners and executive officers as filed on the adviser's Form ADV Schedule A (as-filed titles; ADV updates annually and on material change). This lists officers and 5%+ owners — not necessarily the full portfolio-management team.
Signed this manager's latest 13F (2026-Q1). The filing's authorized signatory — frequently a compliance officer, general counsel, or CFO — not necessarily the portfolio manager or firm leadership.
| Name | Role (as filed) | Departed after | Now at (if tracked) |
|---|---|---|---|
| SALDANHA, MELROY, JOHAN | CHIEF TECHNOLOGY OFFICER | 2024-09 | — not seen at a tracked firm |
| SALB, FRANKLIN, WAYNE | CHIEF INVESTMENT OFFICER | 2024-09 | — not seen at a tracked firm |
| SPENCER, STEVEN | CHIEF COMPLIANCE OFFICER · VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2023-07 | — not seen at a tracked firm |
| LUKS, SHELLEY, M | TREASURER · MANAGING DIRECTOR, TREASURER | 2023-07 | — not seen at a tracked firm |
| RESTIERI, LAWRENCE, JOSEPH | VICE PRESIDENT · MANAGING DIRECTOR | 2023-07 | HighTower Advisors, LLC |
| POULSON, NICOLE, MARIE | CHIEF OPERATING OFFICER, SECRETARY · CHIEF OPERATING OFFICER | 2023-07 | — not seen at a tracked firm |
| FOX, DAVID, ASHLEY | PRESIDENT | 2023-07 | — not seen at a tracked firm |
| DURAN, JOSEPH, JOHN | PRESIDENT · MANAGING DIRECTOR · MANAGING DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER · DIRECTOR, CHIEF EXECUTIVE OFFICER · DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT OVERSIGHT COMMITTEE MEMBER · DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT COMMITTEE MEMBER | 2023-01 | — not seen at a tracked firm |
| PFEIFFER, NATASHA, IRINA | COUNSEL & SECRETARY · COUNSEL, SECRETARY · COUNSEL | 2023-01 | — not seen at a tracked firm |
| HEMSTEAD, CHRISTOPHER | VICE PRESIDENT · CHIEF OPERATING OFFICER · MANAGING DIRECTOR, CHIEF OPERATING OFFICER | 2023-01 | — not seen at a tracked firm |
| ROTH, GARY, LAWRENCE | MANAGING DIRECTOR, CHIEF BUSINESS OFFICER · MANAGING DIRECTOR · DIRECTOR, CHIEF BUSINESS OFFICER · DIRECTOR, EXECUTIVE VICE PRESIDENT / GENERAL MANAGER · DIRECTOR, CHIEF FINANCIAL OFFICER | 2021-06 | Modern Wealth Management, LLC |
| CAPELLE, MICHAEL, JOHN | MANAGING DIRECTOR, CHIEF PLATFORM OFFICER · MANAGING DIRECTOR · DIRECTOR, CHIEF PLATFORM OFFICER · DIRECTOR, SENIOR VICE PRESIDENT / HEAD OF PLATFORM, INVESTMENT COMMITTEE MEMBER · CHIEF STRATEGY OFFICER, INVESTMENT COMMITTEE MEMBER · SENIOR VICE PRESIDENT, INVESTMENT COMMITTEE MEMBER · SENIOR VICE PRESIDENT | 2021-06 | Modern Wealth Management, LLC |
| BERNAL, JORGE, A | MANAGING DIRECTOR, CHIEF OPERATING OFFICER · CHIEF OPERATING OFFICER | 2020-12 | EP Wealth Advisors, LLC |
| HERMAN, MICHAEL, ANSON | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER · CHIEF COMPLIANCE OFFICER · CHIEF COMPLIANCE OFFICER, VICE PRESIDENT OF REGULATORY OVERSIGHT | 2019-08 | — not seen at a tracked firm |
| HALLMAN, DAVID, LAMAR | SENIOR VICE PRESIDENT - INVESTMENT OVERSIGHT COMMITTEE MEMBER · SENIOR VICE PRESIDENT - INVESTMENT COMMITTEE MEMBER | 2019-07 | — not seen at a tracked firm |
| FROJEN, JON, COLIN | CHIEF FINANCIAL OFFICER AND TREASURER | 2019-07 | Beacon Pointe Advisors, LLC |
| BECK, KRISTINA, CHEH | CHIEF LEGAL OFFICER & CORPORATE SECRETARY · GENERAL COUNSEL AND CORPORATE SECREARY | 2019-07 | — not seen at a tracked firm |
| MURPHY, KARA, MARIE | CHIEF INVESTMENT OFFICER | 2019-07 | — not seen at a tracked firm |
Named owners/officers on a past Form ADV Schedule A who are gone from the firm's latest filing. “Departed after” is the last dated filing they appear on. A landing shows only when the destination is another SEC-registered adviser we track.
