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Investment Adviser Firm Summary

UNITED CAPITAL FINANCIAL ADVISERS, LLC (CRD# 134600 / SEC# 801-64376)
Alternate Names: FINLIFE PARTNERS , UCFA , UCFA, LLC , UNITED CAPITAL , UNITED CAPITAL FINANCIAL ADVISERS , UNITED CAPITAL FINANCIAL ADVISERS, INC. , UNITED CAPITAL FINANCIAL ADVISERS, LLC , UNITED CAPITAL FINANCIAL LIFE MANAGEMENT , UNITED CAPITAL PRIVATE WEALTH COUNSELING , UNITED CAPITAL RETIREMENT ADVISERS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/09/2005

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 08/30/2007
Alaska 08/30/2007
Arizona 11/01/2005
Arkansas 07/07/2006
California 06/09/2005
Colorado 11/01/2005
Connecticut 06/15/2006
Delaware 10/28/2005
District of Columbia 10/20/2005
Florida 06/22/2005
Georgia 11/15/2005
Hawaii 11/01/2005
Idaho 11/01/2005
Illinois 07/14/2006
Indiana 03/26/2007
Iowa 09/22/2006
Kansas 07/05/2006
Kentucky 02/09/2007
Louisiana 03/26/2007
Maine 08/30/2007
Maryland 10/20/2005
Massachusetts 06/15/2006
Michigan 06/15/2006
Minnesota 07/17/2006
Mississippi 08/30/2007
Missouri 08/30/2007
Montana 09/20/2006
Nebraska 08/30/2007
Nevada 11/01/2005
New Hampshire 09/20/2006
New Jersey 07/17/2006
New Mexico 11/15/2005
New York 06/15/2006
North Carolina 06/15/2006
North Dakota 08/30/2007
Ohio 06/15/2006
Oklahoma 12/11/2006
Oregon 11/01/2005
Pennsylvania 10/20/2005
Rhode Island 08/30/2007
South Carolina 06/15/2006
South Dakota 09/04/2007
Tennessee 07/06/2006
Texas 06/09/2005
Utah 08/30/2007
Vermont 08/30/2007
Virginia 10/20/2005
Washington 11/01/2005
West Virginia 08/30/2007
Wisconsin 06/21/2006
Wyoming 03/29/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser