# United Asset Strategies Inc.

> United Asset Strategies Inc. is an SEC-registered investment advisory firm in Garden City, NY, registered since 1992, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 9, 2026.

- CRD: 107434
- Filed as: UNITED ASSET STRATEGIES INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Garden City, NY
- Filing period: October 2026
- Form ADV filing dated: July 9, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/107434
- AdvisorCensus page: https://advisorcensus.com/firm/united-asset-strategies-inc-garden-city-ny-107434

## Quick answers

**How is United Asset Strategies Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), United Asset Strategies Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is United Asset Strategies Inc. located?**
United Asset Strategies Inc.'s principal office is in Garden City, NY, according to its Form ADV; the August 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is United Asset Strategies Inc. registered with the SEC or a state?**
United Asset Strategies Inc. is an SEC-registered investment advisory firm, registered since 1992. Status as filed: Approved. CRD 107434.

**How much does United Asset Strategies Inc. manage?**
United Asset Strategies Inc. reports $2,218,000,000 in regulatory assets under management in its Form ADV filing dated July 9, 2026 (92% discretionary).

**How have United Asset Strategies Inc.'s assets and staff changed since 2021?**
In the Form ADV data for United Asset Strategies Inc.: Regulatory assets under management: $1,406,900,000 in the October 2021 data and $2,218,000,000 in the October 2026 data, up 58%. Total employees: 25 in October 2021 and 33 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does United Asset Strategies Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,074); high net worth individuals (503); pension and profit sharing plans (but not the plan participants or government pension plans) (71).

**Which custodians does United Asset Strategies Inc. use?**
United Asset Strategies Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does United Asset Strategies Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/107434

**What changed in United Asset Strategies Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 20 to 21. Regulatory assets under management went from $1,844,600,000 to $2,085,900,000 (+13%). Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $2,218,000,000
- Discretionary: $2,046,100,000
- Non-discretionary: $171,900,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,074 | $368,600,000 |
| High net worth individuals | 503 | $1,667,200,000 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 71 | $143,200,000 |
| Charitable organizations | 2 | $12,400,000 |
| Corporations or other businesses not listed above | 23 | $26,600,000 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1992 (34 years)
- Employees: 33 total, 21 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, CT, DE, FL, GA, IL, LA, MA, MD, ME, MO, NC, NH, NJ, NV, NY, OH, PA, SC, TX, VA, VI, WA, WI
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Short Hills, NJ

### Websites listed on Form ADV (Item 1.I)
- [unitedasset.com](https://unitedasset.com)
- Facebook @UNITED-ASSET-STRATEGIES-
- LinkedIn @UNITED-ASSET-STRATEGIES-INC
- X @UNITED_ASSET

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,406,900,000 | 25 | July 6, 2021 |
| October 2022 | $1,542,900,000 | 30 | June 15, 2022 |
| October 2023 | $1,328,700,000 | 30 | March 31, 2023 |
| October 2024 | $1,716,000,000 | 32 | July 19, 2024 |
| October 2025 | $1,844,600,000 | 32 | March 28, 2025 |
| October 2026 | $2,218,000,000 | 33 | July 9, 2026 |

Regulatory assets under management: $1,406,900,000 in the October 2021 data and $2,218,000,000 in the October 2026 data, up 58%.
Total employees: 25 in October 2021 and 33 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 20 to 21.
- Regulatory assets under management went from $1,844,600,000 to $2,085,900,000 (+13%).
- Updated its list of owners and control persons (Schedule A).

### February 2026
- Employees performing advisory functions went from 21 to 20.
- Updated its list of owners and control persons (Schedule A).

### January 2026
- Registered or notice-filed in LA, NV.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. United Asset Strategies Inc. (CRD 107434): Form ADV filing data as of October 2026.