Partner with United Capital

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United Capital Support Models

Fully Integrated, Back-Office Support

Core Offer?
Digital Client Experience,
Digital Office,
Coaching for Growth

Investment Operations?
Oversight of Transition of Assets, Training on Operational Tools, Centralized Trading, Reporting & Fee Billing, Platform, Relationship & Escalation
Management for General Vendors, Vendor Cost Containment

Compliance?
Full compliance supervision and oversight to meet SEC expectations (e.g. Code of Ethics, Policies & Procedures, Holdings & Activity review, SEC Filings, etc.).

Accounting + Finance?
Full Cycle Accounts Payable & Receivables, Monthly Profit & Loss Statement, Quarterly Managing Director Earnings Statement, Cash Management,
Filing Payroll Tax, Income Tax, Business Licenses, Property Taxes, Annual Audit of Financial Statements

HR Resources?
Healthcare Benefits, 401(k), New Hire Processing, Employee Relations/issues, Terminations, Payroll & Compensation

Model Support

Core Offer?
Digital Client Experience,
Digital Office,
Coaching for Growth

Local Support + Resources?
Oversight of Transition of Assets, Training on Operational Tools, Centralized Trading, Reporting & Fee Billing, Local Admin & Operational Support

Compliance?
Full compliance supervision and oversight to meet SEC expectations (e.g. Code of Ethics, Policies & Procedures, Holdings & Activity review, SEC Filings, etc.).

Accounting + Finance?
Full Cycle Accounts Payable & Receivables, Monthly Profit & Loss Statement,
Quarterly Wealth Adviser Earnings Statement, Cash Management, Filing Payroll Tax, Income Tax, Business Licenses, Annual Audit of Financial Statements


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Model Support

Core Offer?
Digital Client Experience,
Digital Office,
Coaching for Growth

Dedicated Relationship Manager?
Oversight of Transition of Assets, Training on Operational Tools, Centralized Trading, Reporting & Fee Billing

Compliance (IAR)?
Full compliance supervision and oversight to meet SEC expectations (e.g. Code of Ethics, Policies & Procedures, Holdings & Activity review, SEC Filings, etc.).

beAFlag

Be a Flagship Office

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Join a Flagship Office

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Independent Licensee


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Why We Joined UC

  • The team at United Capital thinks differently about our business and is looking to change the conveyor belt approach to the investment advisory industry by focusing on the client’s whole financial life.

    Terry Siman | Managing Director | Pennsylvania
  • Since starting my career, I’ve witnessed significant changes that impact the entire industry, and I feel that United Capital is positioned to be the new leader in our industry.

    Emily Sanders | Managing Director | Georgia
  • Things were just going crazy,
    I was spending all of my time running the business.

    Michael Duncan | Managing Director | NY & NJ
  • We really needed to spend more time with clients and less time, frankly, running a business…. Doing things like HR and health insurance and payroll and taxes all inhibited the depth of those relationships.

    Thad Dunn | Managing Director | Colorado
  • The guys at United Capital were always professional and creative and those things
    don’t always go together.

    Andrew Schiff | Managing Director | Maryland

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