UNITED ASSET STRATEGIES INC.

RIASEC RegisteredEst. 1992
Total AUM
$2.1B
Discretionary
$1.9B
92% of AUM
Avg account
$496K
Accounts
4,208
Employees
33
Advisory reps
25

Firm details

Headquarters
GARDEN CITY, New York
CRD number
107434
Registered since
June 9, 1992
Website
www.unitedasset.com
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees
Client types
  • HNWI75.58%
  • Individuals15.65%
  • Pension & Profit Sharing Plans6.85%
  • Corporations / Businesses1.3%
  • Charitable Organizations0.62%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

United Asset Strategies Inc. is an independent, SEC‑registered advisory corporation that acts as a capital allocator for both individual/family and institutional clients. The firm provides financial planning and portfolio management for individuals, small businesses, larger business and institutional clients, and performs selection-of-other-advisers work and pension consulting. Its fee mix includes percentage‑of‑AUM billing alongside hourly and fixed‑fee arrangements. United Asset Strategies serves as a sponsor/GP of pooled vehicles and lists affiliations with a law firm and an insurance company. The firm has been recognized in industry lists, appearing in FA Magazine’s rankings in 2020 and in Forbes’ Top RIA coverage in 2024.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 66%, US Government Bonds 10%, State & Local Bonds 9%, Public Funds/Mutual Funds 7%, Investment Grade Corp Bonds 4%, Cash & Cash Equivalents 2%, Other 1%66%
  • Exchange Traded Equities66%
  • US Government Bonds10%
  • State & Local Bonds9%
  • Public Funds/Mutual Funds7%
  • Investment Grade Corp Bonds4%

Owners & executives

3 of 4

  • MATTHEW DELORENZO

    Chief Investment OfficerCRD 5021432

  • KATHRYN BELLER

    Chief Compliance Officer & SecretaryCRD 5072413

  • THOMAS HEALY

    Chief Portfolio StrategistCRD 2162962

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Contacts

3 of 21

  • MICHAEL RICCARDI

    PresidentCRD 2238771

  • Michael Abate

    Managing DirectorCRD 2315733

  • ERIN GIBBONS

    Executive Director, Financial Planning & ReportingCRD 3009438

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 93

Active vs passive

$400M in ETFs

Passive

91%

$365M

Active

2%

$35.2M

ETFProviderStyleCategoryValueShares% of portfolio
STATE STREET(R) TECHNOLOGY SELECT SECTOR SPDR(R) ETF (XLK)State StreetPassiveTechnology$30.8M231,7897.70%
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Location

Primary office

GARDEN CITY, NY

NASSAU

Location

GARDEN CITY, NY

Headquartered in GARDEN CITY, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
NASSAU
Address
377 Oak St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth